Securities & Futures Commission of Hong Kong

Process Review Panel reports

The Process Review Panel (PRP) is an independent, non-statutory panel established by the Chief Executive of Hong Kong Special Administrative Region in November 2000. It reviews and advises the SFC on the adequacy of its internal procedures and operational decisions and ensures that its regulatory powers are exercised in a fair and consistent manner.

The PRP reviews the SFC’s handling of complaints, licensing and inspection of intermediaries, disciplinary actions, and other matters. It also may send for, and review, the SFC’s files to verify that actions taken and decisions made in relation to completed cases are consistent with the relevant procedures and operational guidelines.

The panel is made up of representatives from the financial, legal and accountancy sectors and academia as well as one member of the Legislative Council and two ex-officio members, namely the SFC’s Chairman and a representative of the Secretary for Justice. 

The PRP’s reports on the SFC are submitted to the Financial Secretary annually. Such reports are also available on the websites of the SFC and the Financial Services and the Treasury Bureau.

Publication Date
Process Review Panel Annual Report for the Securities and Futures Commission - Annual Report 2015-2016 Oct 2016
Process Review Panel Annual Report for the Securities and Futures Commission - Annual Report 2014-2015 Oct 2015
Process Review Panel Annual Report for the Securities and Futures Commission - Annual Report 2013-2014 Mar 2015
Process Review Panel Annual Report for the Securities and Futures Commission - Annual Report 2012-2013 Oct 2013
Process Review Panel Annual Report for the Securities and Futures Commission - Annual Report 2011-2012 Sep 2012
Process Review Panel Annual Report for the Securities and Futures Commission - Annual Report 2010-2011 Sep 2011
Process Review Panel Annual Report for the Securities and Futures Commission - Annual Report 2009-2010 Sep 2010
Process Review Panel Annual Report for the Securities and Futures Commission - Annual Report 2008-2009 Sep 2009
Process Review Panel Annual Report for the Securities and Futures Commission - Annual Report 2007 Sep 2008
Process Review Panel Annual Report for the Securities and Futures Commission - Annual Report 2006 Sep 2007
Process Review Panel Annual Report for the Securities and Futures Commission - Annual Report 2005 Jul 2006
Process Review Panel Annual Report for the Securities and Futures Commission - Annual Report 2004 Jun 2005
Process Review Panel Annual Report for the Securities and Futures Commission - Annual Report 2003 May 2004
Process Review Panel Annual Report for the Securities and Futures Commission - Annual Report 2002 May 2003
Process Review Panel Annual Report for the Securities and Futures Commission - Annual Report 2001 May 2002
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