Reports on findings of thematic inspection/review

Issue Date	Publication
Mar 2023	Report on the thematic review of risk management practices related to the operational and remote booking risks of trading activities and data risks
Jan 2022	Report on the SFC review of global financial groups foreign exchange activities in Hong Kong
Sep 2020	Report on the 2019-20 thematic cybersecurity review of internet brokers
Jun 2019	Report on the Thematic Review of Prime Services and Related Equity Derivatives Activities in Hong Kong
Dec 2018	Report on the review of internal controls for the protection of client assets and supervision of account executives
Aug 2018	Report on Review of Securities Margin Financing Activities
Apr 2018	Report on the Thematic Review of Alternative Liquidity Pools in Hong Kong
Mar 2018	Report on the Thematic Review of Licensed Corporations Engaged in Sponsor Business
Jan 2018	Report on the Thematic Review of Best Execution
Apr 2017	Report on fact-finding exercise on retail futures brokers
Oct 2014	Second Mystery Shopping Programme Findings
Oct 2012	Report on the Thematic Inspection of Selling Practices of Licensed Corporations
May 2011	Mystery Shopping Programme Findings
Mar 2011	Report on Sponsor Theme Inspection Findings
May 2007	Report on Findings of Second Round of Thematic Inspection of Licensed Investment Advisers
Feb 2005	Report on Selling Practices of Licensed Investment Advisers

Last update: 16 Oct 2020