Panel on Financial Affairs (Papers)

Papers

Securities, futures and debt markets

Regulation of securities firms

Year 2007 - 2008

Year 2006 - 2007

Year 2005 - 2006

Follow-up paper - supplementary information on the regulation of securities firms [CB(1)203/06-07(01)] (29 September 2006)
Joint submission dated 27 September 2006 from 118 cash clients of Wing Yip Company Limited (Chinese version only) [CB(1)2277/05-06(01)] (29 September 2006)
Letter dated 3 October 2006 from the Clerk to Panel to the Chairman of the Process Review Panel for the Securities and Futures Commission (PRP) [CB(1)306/06-07(01)] (29 September 2006)
Letter dated 23 August 2006 from Hon SIN Chung-kai requesting to discuss the regulation of securities firms (Chinese version only) [CB(1)2158/05-06(01)] (29 September 2006)
Powerpoint presentation material on "Regulation of Securities Firms" provided by the Securities and Futures Commission [CB(1)2290/05-06(01)] (29 September 2006)
Regulation of securities firms [CB(1)2248/05-06(01)] (29 September 2006)
Reply dated 25 September 2007 from Process Review Panel on Regulation of securities firms (English version only) [CB(1)2434/06-07(01)] (29 September 2006)
Submission dated 27 September 2006 from a cash client of Wing Yip Company Limited (English version only) [CB(1)2277/05-06(02)] (29 September 2006)
Terms of Reference of PRP [CB(1)306/06-07(03)] (29 September 2006)
Written response dated 14 November 2006 from PRP to LC Paper No. CB(1)306/06-07(01) (English version only) [CB(1)306/06-07(02)] (29 September 2006)

Year 2004 - 2005