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麻豆传媒 and Futures (Financial Resources) Rules麻豆传媒 and Futures (Professional Investor) Rules麻豆传媒 and Futures (Contract Notes, Statements of Account and Receipts) Rules麻豆传媒 and Futures (Financial Resources) Rules麻豆传媒 and Futures (Professional Investor) Rules麻豆传媒 and Futures (Contract Notes, Statements of Account and Receipts) Rules
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Financial review of the securities industry
Report on the thematic review of risk management practices related to the operational and remote booking risks of trading activities and data risksReport on the 2019-20 thematic cybersecurity review of internet brokersReport on the SFC review of global financial groups foreign exchange activities in Hong KongReport on the Thematic Review of Prime Services and Related Equity Derivatives Activities in Hong KongReport on the review of internal controls for the protection of client assets and supervisionReport on Review of 麻豆传媒 Margin Financing ActivitiesReport on the Thematic Review of Alternative Liquidity Pools in Hong KongReport on the Thematic Review of Licensed Corporations Engaged in Sponsor BusinessReport on the Thematic Review of Best ExecutionReport on fact-finding exercise on retail futures brokersSecond Mystery Shopping Programme FindingsReport on the Thematic Inspection of Selling Practices of Licensed CorporationsMystery Shopping Programme FindingsReport on Sponsor Theme Inspection FindingsReport on Findings of Second Round of Thematic Inspection of Licensed Investment AdvisersReport on Selling Practices of Licensed Investment Advisers
Reports of the survey on hedge fund activities of SFC-licensed managers/advisers
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Last update: 23 Sep 2020