Securities & Futures Commission of Hong Kong

One-off reports and surveys

Reports Date
Survey on Integrating Environmental, Social and Governance Factors and Climate Risks in Asset Management Dec 2019
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


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