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Financial review of the securities industry
Report on the thematic review of risk management practices related to the operational and remote booking risks of trading activities and data risksReport on the 2019-20 thematic cybersecurity review of internet brokersReport on the 2023-24 thematic cybersecurity review of licensed corporationsReport on the SFC review of global financial groups foreign exchange activities in Hong KongReport on the Thematic Review of Prime Services and Related Equity Derivatives Activities in Hong KongReport on the review of internal controls for the protection of client assets and supervisionReport on Review of Securities Margin Financing ActivitiesReport on the Thematic Review of Alternative Liquidity Pools in Hong KongReport on the Thematic Review of Licensed Corporations Engaged in Sponsor BusinessReport on the Thematic Review of Best ExecutionReport on fact-finding exercise on retail futures brokersSecond Mystery Shopping Programme FindingsReport on the Thematic Inspection of Selling Practices of Licensed CorporationsMystery Shopping Programme FindingsReport on Sponsor Theme Inspection FindingsReport on Findings of Second Round of Thematic Inspection of Licensed Investment AdvisersReport on Selling Practices of Licensed Investment Advisers
Reports of the survey on hedge fund activities of SFC-licensed managers/advisers
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Specific information about unlisted structured investment productsMutual recognition of funds arrangementsList of recognised jurisdiction schemes and inspection regimesProducts Key Facts Statements (KFS)Format of Illustration Document for ILASInformation Disclosure Templates for Investment Portfolios (Pooled Retirement Funds)
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Grant Scheme for Open-ended Fund Companies and Real Estate Investment TrustsCircularsConsultations and conclusionsForms & checklistsFAQsList of Eligible Collective Investment Schemes under the New Capital Investment Entrant Scheme (New CIES)Quick Reference to FASTrack Applications
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Published resources
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Last update: 23 Sep 2020