One-off reports and surveys

Reports	Date
Report on the Thematic Review of Prime Services and Related Equity Derivatives Activities in Hong Kong	Jun 2019
Report on the review of internal controls for the protection of client assets and supervision of account executives	Dec 2018
Strategic Framework for Green Finance	Sep 2018
Report on Review of Securities Margin Financing Activities	Aug 2018
Report on the Thematic Review of Alternative Liquidity Pools in Hong Kong	Apr 2018
Report on the Thematic Review of Licensed Corporations Engaged in Sponsor Business	Mar 2018
Report on the Thematic Review of Best Execution	Jan 2018
Report on the fact-finding exercise on retail futures brokers	Apr 2017
Mystery Shopping Programme Findings	Dec 2014
Report on the Thematic Inspection of Selling Practices of Licensed Corporations	Oct 2012
Mystery Shopping Programme Findings	May 2011
Report on Sponsor Theme Inspection Findings	Mar 2011
Report on Findings of Second Round of Thematic Inspection of Licensed Investment Advisers	May 2007
A Healthy Market for Informed Investors - A Report on the Derivative Warrants Market in Hong Kong	Nov 2005
Report on Selling Practices of Licensed Investment Advisers	Feb 2005
Report on Errors in Newspaper Announcements of Allotment Results of the Initial Public Offering of Shares in China Life Insurance Company Limited	Apr 2004
Report of the Securities Review Committee - The Operation and Regulation of the Hong Kong Securities Industry	May 1988