Research Papers
General Research Papers on Various Subject
Papers on the Profile of Exchange-Traded Securities and Derivative Products in Hong Kong
Papers Contributed to SFC Quarterly Bulletin by External Authors
 
Titles Publication Date
General Research Papers on Various Subject:
RS Paper 50 - A review of the global and local securities markets in 2011 January 2012
RS Paper 49 - Half Yearly Review of the Global and Local Securities Markets July 2011
RS Paper 48 - A review of the global and local securities markets in 2010 January 2011
RS Paper 47 - Half Yearly Review of the Global and Local Securities Markets July 2010
RS Paper 46 - A review of the global and local securities markets in 2009 January 2010
RS Paper 45 - Half Yearly Review of the Hong Kong Securities Market July 2009
RS Paper 44 - How short-selling activity affects liquidity of the Hong Kong stock market April 2009
RS Paper 43 - Review of the Hong Kong Securities Market in 2008 February 2009
RS Paper 42 - Short selling in the Hong Kong Stock Market October 2008
RS Paper 41 - Half-Yearly Review of the Hong Kong Securities Market July 2008
RS Paper 40 - Hong Kong Consolidates its Role as a Fund-raising Platform for the Greater China Region with Increased Listing of Taiwanese Companies May 2008
RS Paper 39 - A Review of Hong Kong Securities Market Performance in 2007 Feb 2008
RS Paper 38 - The Rapid Growth of the Stock Options Market in Hong Kong Nov 2007
RS Paper 37 - Trading of Listed Equity Products in Hong Kong, the UK and US Jul 2007

RS Paper 36 - An Overview of the Major Events and Regulation of the Securities and Futures Markets between 1997 and 2007

Please click here for the relevant timeline for 1997-2007

 Jun 2007
RS Paper 35 - IPO Activities during 2006 and their Performance Mar 2007
RS Paper 34 - The Retail Structured Notes Market in Hong Kong amid a Rate Hike Cycle Sep 2006
RS Paper 33 - Hong Kong As A Leading Financial Centre in Asia Aug 2006
RS Paper 32 - Inclusion of H-shares in the HSI and Possible Impact on the Market Aug 2006
RS Paper 31 - Trading of Listed Equity Derivatives in Hong Kong, the UK and US Jun 2006
RS Paper 30 - Positioning of Hong Kong amid Reforms in the Mainland Financial Markets Jun 2006
RS Paper 29 - Close Relationship between Active Trading on the Hong Kong Stock Market and Capital Inflow amid the China Factors Apr 2006
RS Paper 28 - Hong Kong's Derivative Warrants Market - Moving with Times amid Rapid Developments in Other Warrants Markets in Asia Apr 2006
RS Paper 27 - Alternative Measures of the Size of the Stock Market Nov 2005
RS Paper 26 - Trading of the 31 Mainland Companies which Issued Both A-shares and H-shares Dec 2005
RS Paper 25 - Trading of Mainland Stocks and HSI Constituent Stocks in Hong Kong, the UK and US Nov 2005
RS Paper 24 - A Survey on the Retail Structured Notes Market in Hong Kong Oct 2005
RS Paper 23 - Proportion of Derivative Warrants Expiring In-the-Money and Out-of-the-Money Sep 2005
RS Paper 22 - Trading of Hong Kong Stocks by US and Japanese Residents Sep 2005
RS Paper 21 - A Comparison Between Shenzhen SME Companies and Hong Kong GEM Companies Mar 2005
RS Paper 20 - Interest Rate and Capital Movements Jan 2005
RS Paper 19 - Convergence of A-share and H-share Prices Jan 2005
RS Paper 18 - Possible Impact of a Rise in US Interest Rates on the Hong Kong Stock Market Oct 2004
RS Paper 17 - The Listing of Mainland Companies on HKEx and the Implications for Hong Kong Sep 2004
RS Paper 16 - Profile of the Index Futures Maket in Hong Kong Sep 2004
RS Paper 15 - Profile of the Stock Options Market in Hong Kong Jun 2004
RS Paper 14 - Impact of IPOs on Market Turnover May 2004
RS Paper 13 - Profile of the Derivative Warrants Market in Hong Kong Mar 2004
RS Paper 12 - Trading Activities of Stocks on HKEx and Overseas Exchanges Mar 2004
RS Paper 11 - Impact of the Issuance of A-shares on the Turnover of H-shares Dec 2003
RS Paper 10 - IPO Activities in Hong Kong Oct 2003
RS Paper 9 - Six-year Comparison of Business Activities Surveys on Investment Advisers, Commodity Trading Advisers and Exempt Investment Advisers under the pre-SFO Regime Sep 2003
RS Paper 8i - Further Analysis of the Recent Rebound in Market Turnover Oct 2003
RS Paper 8 - Analysis of the Recent Rebound in Market Turnover Jul/ Aug 2003
RS Paper 7 - Six-year Comparison of Business Activities Surveys on Commodity Dealers Jun 2003
RS Paper 6 - Analysis of Transaction Size Distribution on HKEx May 2003
RS Paper 5 - Six-year Comparison of Business Activities Surveys on Securities Dealers Apr 2003
RS Paper 4 - Turnover of the Stock Market - A Macro-Economic Perspective Mar 2003
RS Paper 3 - Arbitrage Activities Between HSI Stocks and HSI-Related Derivatives Products Dec 2002

RS Paper 2 - Revenue and Cost Trends of Global Stock Exchanges and HKEx

Nov 2002

RS Paper 1 - Turnover Behaviour of the Hong Kong Stock Market

Oct 2002

Papers on the Profile of Exchange-Traded Securities and Derivative Products in Hong Kong:
The Rapid Growth of the Stock Options Market in Hong Kong Nov 2007
Trading of Listed Equity Products in Hong Kong, the UK and US Jul 2007
Trading of Listed Equity Derivatives in Hong Kong, the UK and US Jun 2006
Hong Kong's Derivative Warrants Market - Moving with Times amid Rapid Developments in Other Warrants Markets in Asia Apr 2006
Proportion of Derivative Warrants Expiring In-the-Money and Out-of-the-Money Sep 2005
Profile of the Index Futures Market in Hong Kong Sep 2004
Profile of the Stock Options Market in Hong Kong Jun 2004
Profile of the Derivative Warrants Market in Hong Kong Mar 2004
Papers Contributed to SFC Quarterly Bulletin by External Authors:
A Re-Examination of the Disclosure of Discretionary Earnings Forecasts: The Case of Initial Public Offerings in Hong Kong Jul 2005
Understanding Investors in the Hong Kong Listed Securities and Derivatives Markets Jul 2004
The Implications of CEPA for the Hong Kong Securities Industry Apr 2004
Investor Compensation Company Limited Jan 2004
Fund Management in Hong Kong and Singapore Jan 2003
The Impact of Stock Consolidations and Capital Reductions on Equity Valuation: Preliminary Evidence for Hong Kong Dec 2002
Note: Views expressed in these research papers are the authors' and do not represent those of the SFC