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Securities, futures and debt markets
Year 2003 - 2004
Year 2002 - 2003
- Annual Report of the Process Review Panel for the Securities and Futures Commission [CB(1)1673/02-03]
- Consultation paper on proposals to enhance the regulation of listing (October 2003) [CB(1)2545/02-03]
- New Education Leaflet "Ten Questions to Ask Before Investing in a Fund" provided by the Securities and Futures Commission [CB(1)593/02-03]
- Report of the Audit Committee of the Securities and Futures Commission on its investigation into certain anonymous allegations [CB(1)1023/02-03]
- Report of the Panel of Inquiry on Penny Stocks Incident and its executive summary [CB(1)142/02-03]
- Report of the Panel of Inquiry on Penny Stocks Incident and its executive summary (For Chinese version, please refer to CB(1)142/02-03) [CB(1)2497/01-02]
- Revised consultation paper on "Continuing Listing Criteria and Related Issues" and the related press release published by the Hong Kong Exchanges and Clearing Limited [CB(1)331/02-03(01)]
- Securities and Futures Commission Quarterly Report for October to December 2002 [CB(1)902/02-03]
- Securities and Futures Commission Quarterly Report for July to September 2002 [CB(1)280/02-03]
- The Securities and Futures Commission Quarterly Report for 1 April to 30 June 2003[CB(1)2355/02-03]
- Review on the Financial Regulatory Framework for Securities Dealers and Securities Margin Financing Providers [CB(1)2109/02-03(04)] (7 July 2003)
- The speaking note of Mrs Alexa LAM, Executive Director of the Securities and Futures Commission, on the Proposed consultation on Review of the Financial Regulation Framework for stockbrokers at the meeting on 7 July 2003 [CB(1)2176/02-03(01)] (7 July 2003)
- Personal views dated 1 June 2003 from Mr Peter CLARKE, member of the Expert Group to Review the Operation of the Securities and Futures Market Regulatory Structure (English version only) [CB(1)1861/02-03(01)] (13 June 2003)
- Proposed Framework for Consultation on the Regulation of Listing Matters [CB(1)1908/02-03(03)] (13 June 2003)
- Report by the Expert Group to Review the Operation of the Securities and Futures Market Regulatory Structure published on 21 March 2003 [CB(1)1199/02-03] (13 June 2003)
- The Administration's reply on Discussion on the Report by the Expert Group to Review the Operation of the Securities and Futures Market Regulatory Structure at the special meeting on 13 June 2003 [CB(1)2146/02-03(01)] (13 June 2003)
- Clearing and Settlement Systems Bill [CB(1)1554/02-03(05)] (5 May 2003)
- Follow-up paper -- Supplementary information on the Clearing and Settlement Systems Bill [CB(1)1790/02-03] (5 May 2003)
- Powerpoint presentation on the Clearing and Settlement Systems Bill [CB(1)1606/02-03(01)] (5 May 2003)
- Recommendations of the Working Group on the Business Environment of the Stockbroking Industry [CB(1)1525/02-03(01)] (28 April 2003)
- Submission dated 25 April 2003 from the Hong Kong Securities & Futures Industry Staff Union (Chinese version only) [CB(1)1525/02-03(03)] (28 April 2003)
- Submission dated 23 April 2003 from The Institute of Securities Dealers Limited (Chinese version only) [CB(1)1525/02-03(02)] (28 April 2003)
- Follow-up paper -- Letter dated 8 April 2003 from the Secretary for Financial Services and the Treasury to Chairman of the Panel (English version only) [CB(1)1440/02-03(02)] (28 March 2003)
- Follow-up paper -- Letter dated 4 April 2003 from Chairman of the Panel to the Secretary for Financial Services and the Treasury (English version only) [CB(1)1440/02-03(01)] (28 March 2003)
- Submission dated 18 March 2003 from the Hong Kong Securities and Futures Industry Staff Union (Chinese version only) [CB(1)1248/02-03(03)] (28 March 2003)
- Submission dated 26 February 2003 from the Hong Kong Securities and Futures Industry Staff Union (Chinese version only) [CB(1)1248/02-03(02)] (28 March 2003)
- Submission dated 24 January 2003 from the Hong Kong Securities and Futures Industry Staff Union (Chinese version only) [CB(1)1248/02-03(01)] (28 March 2003)
- Follow-up paper -- Supplementary information provided by the Administration on the Securities and Futures Commission budget for the financial year 2003-04 [CB(1)1542/02-03] (20 March 2003)
- Securities and Futures Commission Budget for the Financial Year 2003/04 [CB(1)1133/02-03(05)] (20 March 2003)
- Speaking note provided by the Securities and Futures Commission [CB(1)1187/02-03(02)] (20 March 2003)
- Follow-up paper -- Letter dated 14 January 2003 from the Secretary for Financial Services and the Treasury to the Chairman of the Hong Kong Exchanges and Clearing Limited in relation to the Administration's stance on the issue of brokerage commission (English version only) [CB(1)1090/02-03] (16 January 2003)
- Follow-up paper -- Report of the Working Group on the Business Environment of the Stockbroking Industry [CB(1)1466/02-03] (16 January 2003)
- Follow-up paper -- Result of the survey of exchange participants' opinion on the proposed two-tier brokerage commission system conducted by Hon Henry WU (Chinese version only) [CB(1)1007/02-03] (16 January 2003)
- Joint submission from Hon Henry WU and industry associations (Chinese version only) [CB(1)707/02-03(03)] (16 January 2003)
- Motion moved by Hon Henry WU on the removal of the minimum brokerage commission rates as passed in Chinese and its English translation [CB(1)756/02-03] (16 January 2003)
- Speaking note from The Hong Kong Association of Online Brokers (Chinese version only) [CB(1)733/02-03(02)] (16 January 2003)
- Speaking note provided by the Financial Services and the Treasury Bureau (Chinese version only) [CB(1)747/02-03(03)] (16 January 2003)
- Speaking note provided by the Hong Kong Exchanges and Clearing Limited [CB(1)747/02-03(05)] (16 January 2003)
- Speaking note provided by the Securities and Futures Commission [CB(1)747/02-03(04)] (16 January 2003)
- Submission from the Hong Kong Securities and Futures Industry Staff Union (Chinese version only) [CB(1)733/02-03(03)] (16 January 2003)
- Submission from the Hong Kong Securities Professionals Association Ltd (Chinese version only) [CB(1)747/02-03(02)] (16 January 2003)
- Submission from The Institute of Securities Dealers Limited dated 9 January 2003 [CB(1)707/02-03(04)] (16 January 2003)
- Follow-up paper -- Information paper provided by the Administration on the implementation of the recommendations in the Report of the Panel of Inquiry on the Penny Stock Incident [CB(1)1123/02-03] (11 November 2002)
- Letter from Consumer Council on Report of Panel of Inquiry on Penny Stocks Incident, with copy of submission to the expert group to review the operation of the securities and futures market regulatory structure (English version only) [CB(1)250/02-03(02)] (11 November 2002)
- Letter from Miss YUEN, a member of the public on Report of Panel of Inquiry on Penny Stocks Incident (Chinese version only) [CB(1)213/02-03(04)](11 November 2002)
- Letter from Mr YEUNG Wai-sing, member of the Eastern District Council on Report of Panel of Inquiry on Penny Stocks Incident (Chinese version only) [CB(1)213/02-03(03)] (11 November 2002)
- Submission from Penny Stock Incident Committee on Report of Panel of Inquiry on Penny Stocks Incident (Chinese version only) [CB(1)213/02-03(02)] (11 November 2002)
- Submission from the Hong Kong Society of Financial Analysts on Report of Panel of Inquiry on Penny Stocks Incident (English version only) [CB(1)250/02-03(01)] (11 November 2002)
- The speaking note of the Chairman of Hong Kong Securities & Futures Industry Staff Union for the special Panel meeting on 11 November 2002 (Chinese version only) [CB(1)213/02-03(01)] (11 November 2002)
- Follow-up paper -- Additional information provided by the Administration on the procedures for vetting and approving companies incorporated in Mainland China and overseas jurisdictions for listing on the Stock Exchange of Hong Kong Limited, and the monitoring of compliance of these companies with the relevant listing agreement [CB(1)677/02-03] (25 October 2002)
- Letter dated 10 October 2002 from Hon Henry WU King-cheong (Chinese version only) [CB(1)48/02-03(01)] (25 October 2002)
- Paper provided by the Hong Kong Exchanges and Clearing Limited [CB(1)127/02-03(01)] (25 October 2002)
- The speaking note of Mr Eric CHENG, Senior Director of Enforcement, Securities and Futures Commission for the special Panel meeting on 25 October 2002 [CB(1)199/02-03(02)] (25 October 2002)
- The speaking note of Ms Karen LI, Executive Vice President (Listing, Regulation and Risk Management), Hong Kong Exchanges and Clearing Limited for the special Panel meeting on 25 October 2002 (Chinese version only) [CB(1)199/02-03(01)] (25 October 2002)
- The speaking note of Ms Salina YAN, Principal Assistant Secretary for Financial Services and the Treasury (Financial Services) for the special Panel meeting on 25 October 2002 (Chinese version only) [CB(1)199/02-03(03)] (25 October 2002)
Year 2001 - 2002
- A letter and a copy of the educational leaflet on hedge funds provided by the Securities and Futures Commission [CB(1)2484/01-02]
- Educational leaflet an equity-linked instruments issued by Securities and Future Commission together with the covering letter [CB(1)2536/01-02]
- Press release on new listing package to enhance competitiveness of Hong Kong financial market issued by the Administration on 24 July 2002 [CB(1)2351/01-02(01)]
- Report of the Panel of Inquiry on Penny Stocks Incident and its executive summary (For Chinese version, please refer to CB(1)142/02-03) [CB(1)2497/01-02]
- Securities and Futures Commission Quarterly Report [CB(1)2433/01-02]
- Securities and Futures Commission Quarterly Report [CB(1)322/01-02]
- "Comments on the responsibilities of HKEx in the Penny Stocks Incident quoted by the media" provided by the Chief Executive of Hong Kong Exchanges and Clearing Limited (Chinese version only) [CB(1)2655/01-02(02)] (8 October 2002)
- Letter dated 15 October 2002 from the Panel Clerk to the Chairman of Hong Kong Exchanges and Clearing Limited on the Penny Stocks Incident [CB(1)168/02-03(01)] (8 October 2002)
- Reply letter dated 28 October 2002 from the Chief Executive of Hong Kong Exchanges and Clearing Limited [CB(1)168/02-03(02)] (8 October 2002)
- Letter dated 7 October 2002 from the Clerk to Panel to the Secretary for Financial Services and the Treasury on the terms of reference of the Panel of Inquiry on the Penny Stocks Incident and the Expert Group to Review the Operation of the Securities and Futures Market Regulatory Structure (English version only) [CB(1)2667/01-02(02)](8 October 2002)
- Letter dated 7 October 2002 from the Secretary for Financial Services and the Treasury on the terms of reference of the Panel of Inquiry on the Penny Stocks Incident and the Expert Group to Review the Operation of the Securities and Futures Market Regulatory Structure (English version only) [CB(1)2667/01-02(03)] (8 October 2002)
- Letter dated 7 October 2002 from the Secretary for Financial Services and the Treasury providing information on the remuneration of the Panel of Inquiry on the Penny Stocks Incident and the Expert Group to Review the Operation of the Securities and Futures Market Regulatory Structure (English version only) [CB(1)2667/01-02(01)](8 October 2002)
- Letter from the Panel Clerk dated 16 October 2002 to the Administration on the Penny Stocks Incident [CB(1)157/02-03(01)] (8 October 2002)
- Reply letter dated 25 October 2002 from the Permanent Secretary for Financial Services and the Treasury [CB(1)157/02-03(02)] (8 October 2002)
- Letter from the Panel Clerk dated 15 October 2002 to the Chairman of the Securities and Futures Commission on the Penny Stocks Incident [CB(1)157/02-03(03)] (8 October 2002)
- Reply letter dated 24 October 2002 from the Chairman of SFC [CB(1)157/02-03(04)] (8 October 2002)
- "Major issues raised at the Panel meetings on 31 July, 16 September and 20 September 2002" prepared by the Legislative Council Secretariat [CB(1)2655/01-02(01)] (8 October 2002)
- Press release on expert group appointed by the Financial Secretary to review the operation of the securities and futures market regulatory structure [CB(1)2603/01-02] (8 October 2002)
- List of the eleven individuals interviewed by the Panel of Inquiry on Penny Stocks Incident [CB(1)2585/01-02(08)] (20 September 2002)
- Submission from Hong Kong Securities & Futures Industry Staff Union on Report of Panel of Inquiry on Penny Stocks Incident (Chinese version only) [CB(1)2585/01-02(03)] (20 September 2002)
- Submission from Hong Kong Securities Institute on Report of Panel of Inquiry on Penny Stocks Incident [CB(1)2585/01-02(07)] (20 September 2002)
- Submission from Hong Kong Securities Professionals Association Limited on Report of Panel of Inquiry on Penny Stocks Incident (Chinese version only) [CB(1)2585/01-02(04)] (20 September 2002)
- Submission from Hong Kong Stockbrokers Association Limited on Report of Panel of Inquiry on Penny Stocks Incident (Chinese version only) [CB(1)2585/01-02(05)] (20 September 2002)
- Submission from the Institute of Securities Dealers Limited on Report of Panel of Inquiry on Penny Stocks Incident (Chinese version only) [CB(1)2585/01-02(06)] (20 September 2002)
- The speaking note of the Chairman of the Securities and Futures Commission for the special Panel meeting on 20 September 2002 [CB(1)2585/01-02(01)] (20 September 2002)
- The speaking note of the Chief Executive of the Hong Kong Exchanges and Clearing Limited for the special Panel meeting on 20 September 2002 (Chinese version only) [CB(1)2585/01-02(02)] (20 September 2002)
- "List of issues raised by members at the meeting of the Financial Affairs Panel on 31 July 2002" prepared by the Legislative Council Secretariat [CB(1)2537/01-02(01)] (16 September 2002)
- "Taking forward Recommendations in the Report of the Panel of Inquiry on the Penny Stock Incident" provided by the Administration [CB(1)2537/01-02(02)] (16 September 2002)
- The speaking note of the Financial Secretary for the special Panel meeting on 16 September 2002 (Chinese version only) [CB(1)2537/01-02(03)] (16 September 2002)
- The speaking note of the Secretary for Financial Secretary and the Treasury for the special Panel meeting on 16 September 2002 (Chinese version only) [CB(1)2537/01-02(04)](16 September 2002)
- A joint statement in the press made by 72 listed companies and addressed to the Chief Executive, Hong Kong Exchanges and Clearing Limited, dated 29 July 2002(Chinese version only) [CB(1)2374/01-02(02)] (31 July 2002)
- A reply letter from the Private Secretary to Chief Executive to Hon Henry WU, Deputy Chairman of the Panel, dated 1 August 2002 on request for the setting up of a commission of inquiry under the Commission of Inquiry Ordinance (Cap. 86) [CB(1)2425/01-02(01)] (31 July 2002)
- Consultation paper on proposed amendments to the listing rules relating to initial listing and continuing listing eligibility and cancellation of listing procedures issued by Hong Kong Exchanges and Clearing Limited on 25 July 2002 [CB(1)2373/01-02(03)] (31 July 2002)
- Extract of article on "Quality of Market and the Case for More Effective Delisting Mechanism" issued by the Securities and Futures Commission on 25 July 2002 [CB(1)2373/01-02(05)] (31 July 2002)
- Information note prepared by the LegCo Secretariat --- Proposals relating to the delisting mechanism announced by Hong Kong Exchanges and Clearing Limited [CB(1)2385/01-02] (31 July 2002)
- Information paper entitled "A tiered regulatory framework for the securities & futures industry in Hong Kong" provided by the Administration [CB(1)2387/01-02(03)] (31 July 2002)
- Letter addressed to the Secretary for Financial Services and the Treasury from Hon Emily LAU dated 29 July 2002 on "proposals relating to the delisting mechanism announced by Hong Kong Exchanges and Clearing Limited" (Chinese version only) [CB(1)2374/01-02(01)] (31 July 2002)
- Letter from Hon Henry WU, Deputy Chairman of the Panel, to Mr TUNG Chee-hwa, Chief Executive, dated 1 August 2002 on request for the setting up of a commission of inquiry under the Commission of Inquiry Ordinance (Cap. 86) [CB(1)2396/01-02(01)] (31 July 2002)
- Letter from the Financial Secretary dated 31 July 2002 on proposals relating to the delisting mechanism announced by Hong Kong Exchanges and Clearing Limited [CB(1)2387/01-02(05)] (31 July 2002)
- Letter from the Hong Kong Securities Professionals Association Ltd dated 30 July 2002 on proposals relating to the delisting mechanism announced by Hong Kong Exchanges and Clearing Limited (English version only) [CB(1)2387/01-02(02)] (31 July 2002)
- Letter from the Institute of Securities Dealers Ltd dated 30 July 2002 on proposals relating to the delisting mechanism announced by Hong Kong Exchanges and Clearing Limited [CB(1)2387/01-02(01)] (31 July 2002)
- Press release on proposals relating to the delisting mechanism announced by Hong Kong Exchanges and Clearing Limited issued by the Administration on 28 July 2002 [CB(1)2373/01-02(01)] (31 July 2002)
- Press release on proposals relating to the delisting mechanism announced by Hong Kong Exchanges and Clearing Limited on 25, 26, 27 and 28 July 2002 [CB(1)2373/01-02(02)] ( 31 July 2002)
- Press release on proposals relating to the delisting mechanism announced by Hong Kong Exchanges and Clearing Limited issued by the Securities and Futures Commission on 26 July 2002 [CB(1)2373/01-02(04)] (31 July 2002)
- Speaking note of Mr Andrew SHENG, Chairman of the Securities and Futures Commission at the meeting on 31 July 2002 [CB(1)2402/01-02(01)] (31 July 2002)
- Speaking note of Mr Charles LEE, Chairman of the Hong Kong Exchanges and Clearing Limited at the meeting on 31 July 2002 [CB(1)2402/01-02(02)] (31 July 2002)
- Speaking note of Secretary for Financial Services and the Treasury at the meeting on 31 July 2002 (Chinese version only) [CB(1)2387/01-02(04)] (31 July 2002)
- Speaking note of the Chief Executive of Hong Kong Exchanges & Clearing Limited at the meeting on 31 July 2002 [CB(1)2387/01-02(06)] (31 July 2002)
- Paper on Market Disruption on the 28 May 2002 provided by the Hong Kong Exchanges and Clearing Limited[CB(1)2152/01-02(05)](19 July 2002)
- Summary on reported system incidents in overseas exchanges provided by the Hong Kong Exchanges and Clearing Ltd. [CB(1)2507/01-02(01)] (19 July 2002)
- The issues arising from the interruption of the futures and options trading system on the 28 May 2002[CB(1)2152/01-02(04)](19 July 2002)
- New SFC Investor Leaflet -- "Wise Ways when Dealing with Brokers" [CB(1)1674/01-02(01)] (3 June 2002)
- Report of the Process Review Panel for the Securities and Futures Commission [CB(1)1731/01-02] (3 June 2002)
- Proposed Amendments to the Current Financial Resources Rules provided by the Administration and Securities and Futures Commission [CB(1)1628/01-02(06)] (6 May 2002)
- Leaflets from the Securities and Futures Commission [CB(1)1274/01-02] (9 April 2002)
- Development of the Retail Debt Market in Hong Kong [CB(1)716/01-02(05)] (4 March 2002 and 7 January 2002)
- Follow-up supplementary information paper on "Development of retail debt market in Hong Kong" provided by the Administration [CB(1)1245/01-02(01)] (4 March 2002)
- Levies and comparison of licensing fees with other jurisdictions provided by the Securities and Futures Commission [CB(1)1395/01-02(01)] (4 March 2002)
- Report on the Growth Enterprise Market [CB(1)1171/01-02(01)] (4 March 2002)
- Securities and Futures Commission Budget for the Financial Year 2002-03 [CB(1)1184/01-02(03)] (4 March 2002)
- Securities and Futures Commission Quarterly Report --10-12/2001[CB(1)1043/01-02] (4 March 2002)
- Leaflet on equity-linked notes published by the Securities and Futures Commission [CB(1)728/01-02] (7 January 2002)
Year 2000 - 2001
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