The following table shows certain key market data and statistics related to the work of the SFC in the past three years. Please see corresponding tables starting in Activity and Market Data.

 2010/11 change 2009/10 change 2008/09
Market activities and transactions



Listing applications reviewed under the dual
 filing regime (Table 7)		 201 52% 132 52% 87
Takeovers and share repurchases transactions
 handled (Table 6)		 304 -16% 363 37% 266
         
Licensing



Applications for SFC licences 7,793 20% 6,518 -9% 7,150
Applications to conduct new regulated activity 24,246 26% 19,248 -6% 20,450
Number of SFC licensees (Table 10) 38,579 5% 36,581 -2% 37,310





Investment products



Number of SFC-authorized schemes (Table 1) 2,594 -0.2% 2,599 -8% 2,833
NAV of authorized unit trusts and mutual funds
 (US$ billion)1
 (Tables 2 and 3)		 1,188.0 28% 926.9 48% 628.3





Inspections of intermediaries



Risk-based on-site inspections conducted 235 18% 200 25% 160





Enforcement



Number of cases handled 402 35% 298 166% 112
Successful prosecutions 55 62% 34 26% 27
Unsuccessful prosecutions 1 -67% 3 0% 3
Disciplinary inquiries conducted 73 -11% 82 -17% 99
Actions taken against licensees 47 -16% 56 12% 50

2010/11 change 2009/10 change 2008/09
           
Reaching out




Press releases issued 161 7% 151 -21% 192
Consultation papers issued 6 0% 6 100% 3
Consultation conclusions issued 9 350% 2 -50% 4
Technical publications 9 0% 9 13% 8
Codes and guidelines issued 6 500% 1 -83% 6
Corporate website average daily hit rate 843,145 18% 717,699 46% 492,383
Public enquiries 3,405 7% 3,176 -75% 12,762
Public complaints2 1,937 -29% 2,742 -73% 10,070
 
Investor-related
Educational articles 139 -6% 148 12% 132
Talks, seminars and workshops 59 -17% 71 18% 60
Educational segments on radio/TV 109 -15% 128 -1% 129
InvestEd website average daily hit rate 157,909 12% 140,943 -2% 144,285
NAV of all compensation funds ($ million) 2,113.8 4% 2,023.8 8% 1,873.3
Unified Exchange Compensation Fund 61.6 5% 58.7 2% 57.7
Investor Compensation Fund 2,052.2 4% 1,965.1 8% 1,815.6
           
Finances and staff




Income ($ million) 1,683.8 -6% 1,798.4 6% 1,696.1
Expenses including depreciation ($ million) 780.4 7% 729.7 7% 683.8
Number of staff3 544 9% 501 5% 478
1 Net asset value (NAV) as at 31 December 2010, 2009 and 2008.
Note: All dollar amounts have been rounded to the nearest decimal, and figures to the nearest digit.
2 The figures reflect the number of complainants.
3 The break down of the figures is as follows:

 31 March 2011 31 March 2010 31 March 2009

Actual Budget Actual Budget Actual Budget
Professional 402 441 373 401 349 383
Support 142 146 128 135 129* 124

544 587 501 536 478 507
* A number of junior professional staff headcount vacancies were filled by supporting staff.

Note: All dollar amounts have been rounded to the nearest decimal, and figures to the nearest digit.

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