Surveys & Reports
SEE ON THE SITE PUBLICATION DATE
IN FULL Report on the Securities and Futures Commission's 2011 annual review of the Exchange's performance in its regulation of listing matters (PDF file) October 2011
IN FULL Financial Review of the Securities Industry for the half year ended 30 June 2011(PDF file) September 2011
IN FULL Fund Management Activities Survey 2010 (PDF file) July 2011
IN FULL Mystery Shopping Programme Findings (PDF file) May 2011
IN FULL Report on Sponsor Theme Inspection Findings (PDF file) March 2011
IN FULL Financial Review of the Securities Industry for the year ended 31 December 2010 (PDF file) March 2011
IN FULL Report of the Survey on Hedge Fund Activities of SFC-licensed Managers/Advisers (PDF file) March 2011
IN FULL Report on the Securities and Futures Commission's 2010 annual review of the Exchange's performance in its regulation of listing matters (PDF file) December 2010
IN FULL Financial Review of the Securities Industry for the half year ended 30 June 2010(PDF file) September 2010
IN FULL Fund Management Activities Survey 2009 (PDF file) July 2010
IN FULL Industry Participants Survey 2009/10 Key Findings(PDF file) June 2010
IN FULL Financial Review of the Securities Industry for the year ended 31 December 2009(PDF file) March 2010
IN FULL Report on the Securities and Futures Commission's 2009 Annual Review of the Exchange's Performance in its Regulation of Listing Matters (PDF file) December 2009
IN FULL Report of the Survey on Hedge Funds Managed by SFC Licensed Managers (for the Period 31 March 2007 - 31 March 2009) (PDF file) September 2009
IN FULL Financial Review of the Securities Industry for the half year ended 30 June 2009(PDF file) September 2009
IN FULL Fund Management Activities Survey 2008 (PDF file) July 2009
IN FULL Report on the Securities and Futures Commission’s 2008 Annual Review of the Exchange’s Performance in its Regulation of Listing Matters (PDF file) April 2009
IN FULL Financial Review of the Securities Industry for the year ended 31 December 2008 (PDF file) March 2009
IN FULL Key Findings of Retail Investor Survey (PDF file) December 2008
IN FULL Financial Review of the Securities Industry for the half year ended 30 June 2008 (PDF file) September 2008
IN FULL Fund Management Activities Survey 2007 (PDF file) July 2008
IN FULL Financial Results of the Securities Industry for the Year of 2007 (PDF file) March 2008
IN FULL Report on the Securities and Futures Commission's 2007 Annual Review of the Exchange's Performance of its Regulation of Listing Matters (PDF file) Feb 2008
IN FULL Fund Management Activities Survey 2006 (PDF file) July 2007
IN FULL Report on Findings of Second Round of Thematic Inspection of Licensed Investment Advisers (PDF file) May 2007
IN FULL 2006 Annual Review of the Exchange's Performance of its Regulation of Listing Matters (PDF file) April 2007
IN FULL SFC Stakeholder Survey 2006 (PDF file) Jan 2007
IN FULL Structured Product Investor Survey (PDF file) Nov 2006
IN FULL Report of the Survey on Hedge Funds Managed by SFC Licensed Managers (for the Period 31 March 2004 - 31 March 2006) (PDF file) Oct 2006
IN FULL Survey on Engagement of Investment Advisers (PDF file) Sep 2006
IN FULL Fund Management Activities Survey 2005 (PDF file) July 2006
IN FULL Stock Investor Survey (PDF file) June 2006
IN FULL Warrant Investor Survey (PDF file) Mar 2006
IN FULL Retail Investor Survey 2005 (PDF file) Mar 2006
IN FULL A Healthy Market for Informed Investors - A Report on the Derivative Warrants Market in Hong Kong Nov 2005
IN FULL Report on the Securities and Futures Commission's 2005 Annual Review of the Exchange's Performance in its Regulation of Listing Matters (PDF file) Oct 2005
IN FULL Public Perception Survey Report of Findings (PDF file)

Sep 2005
IN FULL Fund Management Activities Survey 2004 (PDF file)

Jul 2005
IN FULL Investor Survey on Sponsors (PDF file)

Mar 2005
IN FULL Report on Selling Practices of Licensed Investment Advisers (PDF file) Feb 2005
IN FULL Report of the Survey on Fund Trading Practices
(Market Timing, Late Trading and Selective Disclosure)
for the Period 2002 - 2003 (PDF file)

Jul 2004

IN FULL Fund Management Activities Survey 2003 (PDF file)

Jul 2004

IN FULL Report on Errors in Newspaper Announcements of Allotment Results of the Initial Public Offering of Shares in China Life Insurance Company Limited (PDF file)

Apr 2004

IN FULL Retail Investor Survey 2003 (PDF file) Mar 2004
IN FULL Securities Firm Survey on Investment Research Activities (PDF file)
Investor Survey on Investment Research Activities (PDF file)		 Nov 2003
IN FULL Fund Management Activities Survey 2002 (PDF file)

Jul 2003

IN FULL Report of the Audit Committee of the SFC on its Investigation into Certain Allegations Concerning the Commission Contained in a Series of Anonymous Documents Circulated in the Community During the Period from July 2002 to January 2003 (Adopted by the Commission on 26 February 2003) (PDF file) Feb 2003
IN FULL Survey on Exempt Dealers and Exempt Investment Advisers
that are not Authorised Institutions 		Aug 2002
IN FULL Fund Management Activities Survey 2001 (PDF file) June 2002
IN FULL IT Deployment Survey Summary Report (PDF file) Jan 2002
IN FULL SFC Stakeholder Survey 2001 (PDF file) Dec 2001
IN FULL Business Activities Surveys on Securities/Futures Intermediaries and Exempt persons (PDF file) Oct 2001
IN FULL Retail Investor Survey (PDF file) Oct 2001
IN FULL Fund Management Activities Survey 2000 June 2001
IN FULL Business Activities Surveys on Securities/Futures Intermediaries and Exempt Persons (PDF file) Oct 2000
IN FULL Survey on the Use of Online Facilities for Trading Purposes by Dealers Registered with the SFC (PDF file) Jul 2000
IN FULL Fund Management Activities Survey 1999 Jul 2000
IN FULL Business Activities Surveys on Securities/Futures Intermediaries and Exempt Persons (PDF file) Dec 1999
IN FULL Retail Investor Survey Report Dec 1999
IN FULL Securities and Futures Intermediaries Activities Surveys Nov 1998
IN FULL Internet Investment Services - Conclusions and Recommendations for Hong Kong Nov 1998
IN FULL Report of Inquiry Dealings in HSBC Holdings Plc Shares 29 and 30 October 1997 Aug 1998
IN FULL Report on an Investigation into Possible Contraventions of Securities (Insider Dealing) Ordinance and Securities (Disclosure of Interests) Ordinance in relation to the Trading of Shares in Crownhampton International Limited Feb 1998
IN FULL Suspension of Stock Trading and its Consequences: Presented by the SFC to the Provisional Legislative Council Panel on Financial Affairs Sep 1997
Offshore Trading of Hong Kong Stocks : Migrating of Trading as a Growing Pie? May 1997
Report of the Surveys on the Over-The-Counter Derivatives Activities by Registered Firms Apr 1997
Retail Investor Survey Report Apr 1996
IN FULL Corporate Plan Feb 1996
Core Operational and Financial Risk Management Controls for Over-the-Counter Derivatives Activities of Registered Persons Mar 1995
Report of a Working Group: Offers of Securities and Other Investments Dec 1991