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Other reports and surveys
Reports Date
Report on the fact-finding exercises on ESG ratings and data products providers Oct 2023
Report on the thematic review of risk management practices related to the operational and remote booking risks of trading activities and data risks  Mar 2023
Report on the review of licensed corporations providing online brokerage, distribution and advisory services Aug 2022
Agenda for Green and Sustainable Finance Aug 2022
Report on the SFC's review of global financial groups' foreign exchange activities in Hong Kong Jan 2022
Report on Operational Resilience and Remote Working Arrangements Oct 2021
Report on the 2019-20 thematic cybersecurity review of internet brokers Sep 2020
Report on Leveraged Foreign Exchange Trading Activities Carried Out by Licensed Corporations Apr 2020
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 鶹ý 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 Apr2017
Report of the Survey on Hedge Fund Activities of SFC-licensed Managers/Advisers Mar 2015
Mystery Shopping Programme Findings Dec2014
Report of the Survey on Hedge Fund Activities of SFC-licensed Managers/Advisers Mar 2013
Report on the Thematic Inspection of Selling Practices of Licensed Corporations Oct 2012
Mystery Shopping Programme Findings May 2011
Report of the Survey on Hedge Fund Activities of SFC-licensed Managers/Advisers Mar 2011
Report on Sponsor Theme Inspection Findings Mar 2011
Report of the Survey on Hedge Fund Activities of SFC-licensed Managers/Advisers Sep 2009
Report on Findings of Second Round of Thematic Inspection of Licensed Investment Advisers May 2007
Report of the Survey on Hedge Fund Activities of SFC-licensed Managers/Advisers Oct 2006
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鶹ý Review Committee - The Operation and Regulation of the Hong Kong 鶹ý Industry

May 1988

Last update: 31 Oct 2023

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