| Documents | Subcommittee reference no.
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| 1. | Witness statement of Mr Joseph YAM, MA
| W6(C)
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| 2. | Statement by the Chief Executive of the Hong Kong Special Administrative Region on "Responsibilities of the Financial Secretary and the Secretary for Financial Services and the Treasury" issued on 27 June 2003
| W6(C)
Annex 1
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| 3. | "Policy Objectives in Financial Affairs and Public Finance" issued by the FS on 27 June 2003
| W6(C)
Annex 2
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| 4. | Exchange of Letters between the FS and the Monetary Authority of 25 June 2003
| W6(C)
Annex 3
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| 5. | "Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission" dated May 2006
| W6(C)
Annex 4(A)
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| 6. | "Management, Supervision and Internal Control Guidelines for Persons Licensed by or Registered with the Securities and Futures Commission" dated April 2003
| W6(C)
Annex 4(B)
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| 7. | A list of circulars issued by the HKMA in relation to the conduct of regulated activities
| W6(C)
Annex 5
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| 8. | (A) A list of the MoU Meetings between the HKMA and the SFC where issues relating to the sale of structured products by intermediaries were discussed
(B) A summary of the correspondence between the HKMA and the SFC related to the Annex 6(A) MoU Meetings
| W6(C)
Annex 6
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| 9. | Comparison of recommendations made in the HKMA's Review Report and practices of overseas regulators
| W6(C)
Annex 7
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| 10. | HKMA's Supervisory Policy Manual module OR-1 dated 28 November 2005
| W6(C)
Annex 8
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| 11. | Relevant extracts (in Chinese) from MA's speaking notes and the record of the Financial Affairs Panel, MA's Viewpoint articles, and transcripts of comments to the media
| W6(C)
Annex 9
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| 12. | "New securities supervisory regime – register to be maintained by the HKMA and specific guidance in relation to relevant individuals" dated 27 February 2003
| W6(C)
Annex 10
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| 13. | "New publications of the Securities and Futures Commission and HKMA" dated 21 August 2003
| W6(C)
Annex 11
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| 14. | "SFC Guidelines for Addressing Analyst Conflicts of Interest" dated 8 November 2004
| W6(C)
Annex 12
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| 15. | "Register of relevant individuals under section 20(1)(ea) of the Banking Ordinance" dated 21 February 2005
| W6(C)
Annex 13
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| 16. | "SFC press release – Extracts and Advertisements Concerning Prospectuses under the Companies Ordinance" dated 31 March 2005
| W6(C)
Annex 14
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| 17. | "Controls to ensure the fitness and propriety of staff of authorized institutions" dated 28 September 2006
| W6(C)
Annex 15
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| 18. | "Controls to ensure compliance with section 114(3) of the Securities and Futures Ordinance and section 20(4) of the Banking Ordinance" dated 13 June 2007
| W6(C)
Annex 16
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| 19. | "Thematic examinations on controls to ensure fitness and propriety of relevant individuals" dated 12 March 2008
| W6(C)
Annex 17
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| 20. | "Access to recordings of telephone conversation and Lehman Minibonds collaterals information" dated 5 November 2008
| W6(C)
Annex 18
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| 21. | "Despatch of information to investors of retail investment product" dated 10 December 2008
| W6(C)
Annex 19
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| 22. | "Circular Issued by the Securities and Futures Commission on the Revised Advertising Guidelines Relating to SFC-authorised Collective Investment Schemes" dated 2 January 2009
| W6(C)
Annex 20
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| 23. | "Report of the HKMA on Issues Concerning the Distribution of Structured Products Connected to Lehman Group Companies" dated 9 January 2009
| W6(C)
Annex 21
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| 24. | "Circular Issued by the Securities and Futures Commission Regarding Self-Examination of Controls and Procedures on Suitability Obligations" dated 26 February 2009
| W6(C)
Annex 22
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| 25. | "Fair and reasonable arrangements for settling complaints related to the selling of investment products" dated 5 March 2009
| W6(C)
Annex 23
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| 26. | "Circular Issued by the Securities and Futures Commission on Suspension of the Closing Auction Session" dated 20 March 2009
| W6(C)
Annex 24
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| 27. | "Implementation of recommendations in the HKMA's Report on Issues Concerning the Distribution of Structured Products Connected to Lehman Brothers" dated 25 March 2009
| W6(C)
Annex 25
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| 28. | Curriculum Vitae of Mr Joseph YAM, MA
| W7**
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| 29. | List of duties and responsibilities of the MA
| W8
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| 30. | Opening remark by Mr Joseph YAM Chi-kwong, MA, at the hearing on 14 April 2009
| W9
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| 31. | The remark delivered by Mr Joseph YAM, MA, at the hearing on 28 April 2009 on the Subcommittee's decision to decline his request for confidentiality of the excised parts of the "Report of the Hong Kong Monetary Authority on Issues Concerning the Distribution of Structured Products Connected to Lehman Group Companies" as submitted to the Financial Secretary on 31 December 2008
| W10
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| 32. | Witness statement of Mr Y K CHOI, Deputy Chief Executive of HKMA
| W11(C)
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| 33. | Curriculum Vitae of Mr Y K CHOI, Deputy Chief Executive of HKMA
| W12**
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| 34. | Supervisory Policy Manual module SB-1: Supervision of regulated activities of SFC-registered authorized institutions
| M1
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| 35. | Circular issued by HKMA dated 1 March 2005: The Securities and Futures Commission's Report on Selling Practices of Licensed Investment Advisers
| M2
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| 36. | Circular issued by HKMA dated 3 March 2006: Retail Wealth Management (RWM) Business
| M3
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| 37. | Circular issued by HKMA dated 7 May 2007: Questions and Answers on Suitability Obligations Published by the Securities and Futures Commission
| M4
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| 38. | Circular issued by HKMA dated 23 September 2008: Investment products related to Lehman Brothers
| M5
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| 39. | Circular issued by HKMA dated 23 October 2008: Selling of investment products to retail customers
| M6
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| 40. | HKMA's response to the Clerk to Subcommittee's letter dated 22 December 2008
| M7
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| 41. | Frequently asked questions issued by Lehman Brothers Asia Limited, the arranger of the Minibonds, to distributors and noteholders dated 17 September 2008;
Frequently asked questions issued by Lehman Brothers Asia Limited, the arranger of the ProFund Notes, to distributors and noteholders dated 18 September 2008; and
Frequently asked questions issued by Lehman Brothers Asia Limited, the arranger of the Pyxis Notes, to distributors and noteholders dated 18 September 2008
| M7
Appendix 1
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| 42. | Securities and Futures Commission's Licensing information booklet
| M7
Appendix 2
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| 43. | SFC's application forms for new registration and addition of regulated activities and the related supplements
| M7
Appendix 3
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| 44. | HKMA's application forms for approval to become and Executive Officer and change of regulated activities for an Executive Officer and the related supplements
| M7
Appendix 4
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| 45. | Relevant extracts of BO and SFO
| M7
Appendix 5
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| 46. | SFC's Fit and Proper Guidelines
| M7
Appendix 6
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| 47. | SFC's Guidelines on Competence and the revised Appendix C
| M7
Appendix 7
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| 48. | SFC's Guidelines on Continuous Professional Training
| M7
Appendix 8
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| 49. | SFC's frequently asked questions on responsible officers
| M7
Appendix 9
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| 50. | Section 193 of SFO
| M7
Appendix 10
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| 51. | Circular issued by HKMA dated 24 March 2003: Executive officers of registered institutions
| M7
Appendix 11
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| 52. | HKMA's response to the Clerk to Subcommittee's letter dated 30 December 2008
| M8
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| 53. | HKMA's response to the Clerk to Subcommittee's letter dated 22 December 2008
| M9
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| 54. | "Plan for 2008 and Beyond" in the Annual Report 2007 of HKMA
| M10
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| 55. | Circular issued by HKMA dated 13 January 2003: Calls in Relation to Securities or Futures Products and Services
| M11
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| 56. | Circular issued by HKMA dated 1 March 2007: Thematic Examinations on Investment Advisory Activities
| M12
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| 57. | Circular issued by HKMA dated 1 June 2007: SFC's Report on Findings of Second Round of Thematic Inspection of Licensed Investment Advisers
| M13
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| 58. | Information provided by HKMA in March 2009 to the Financial Affairs Panel on Lehman Brothers-related Minibonds and Structured Financial Products
| M14
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| 59. | Written responses from Mr Joseph YAM, MA, to follow-up issues arising from the hearing on 14 April 2009
| M15
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| 60. | Report of Hong Kong Monetary Authority on Issues Concerning the Distribution of Structured Products Connected to Lehman Group Companies
| M16
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| 61. | Written responses from Mr Joseph YAM, MA, to follow-up issues arising from the hearing on 17 April 2009
| M17
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| 62. | Written responses from Mr Joseph YAM, MA, to follow-up issues arising from the hearing on 28 April 2009
| M18
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| 63. | Written responses from Mr Joseph YAM, MA, to follow-up issues arising from the hearing on 8 May 2009
| M19
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| 64. | Written responses from Mr Joseph YAM, MA, to follow-up issues arising from the hearing on 14 April 2009
| M20
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| 65. | Written responses from Mr Joseph YAM, MA, to follow-up issues arising from the hearing on 15 May 2009
| M21
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| 66. | Written responses from Mr Joseph YAM, MA, to the follow-up issue arising from the hearing on 22 May 2009
| M22
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| 67. | Written responses from Mr Y K CHOI, Deputy Chief Executive of HKMA, to follow-up issues arising from the hearing on 26 May 2009
| M23
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| 68. | Supervisory Policy Manual CR-G-12: Credit Derivatives
| M24
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| 69. | Written responses from Mr Joseph YAM, MA, to follow-up issues arising from the hearing on 22 May 2009
| M25
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| 70. | Written responses from Mr Y K CHOI, Deputy Chief Executive of HKMA, to follow-up issues arising from the hearing on 2 June 2009
| M26
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| 71. | Written responses from Mr Y K CHOI, Deputy Chief Executive of HKMA, to follow-up issues arising from the hearing on 5 June 2009
| M27
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| 72. | Written responses from Mr Y K CHOI, Deputy Chief Executive of HKMA, to follow-up issues arising from the hearing on 2 June 2009
| M28
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| 73. | Further information provided by Mr Joseph YAM, MA, dated 15 June 2009
| M29
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| 74. | Written responses from Mr Y K CHOI, Deputy Chief Executive of HKMA, to follow-up issues arising from the hearing on 12 June 2009
| M30
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| 75. | Written responses from Mr Y K CHOI, Deputy Chief Executive of HKMA, to follow-up issues arising from the hearing on 5 June 2009
| M31
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| 76. | Information provided by Mr Y K CHOI, Deputy Chief Executive of HKMA, dated 2 July 2009
| M32
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| 77. | Written responses from Mr Y K CHOI, Deputy Chief Executive of HKMA, to the Clerk to Subcommittee's letter dated 8 October 2009
| M33
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| 78. | "Questions and answers about Lehman Brothers Minibonds Repurchase Scheme by Distributing Banks" issued by HKMA dated 19 August 2009
| M34
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| 79. | Written responses to range of issues for the hearing on 10 November 2009 from Mr Y K CHOI, Deputy Chief Executive of HKMA
| M35
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| 80. | Written responses from Mr Y K CHOI, Deputy Chief Executive of HKMA, to follow-up issues arising from the hearing on 10 November 2009
| M36
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| 81. | Written responses from Mr Y K CHOI, Deputy Chief Executive of HKMA, to follow-up issues arising from the hearing on 10 November 2009
| M37
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| 82. | Written responses from Mr Y K CHOI, Deputy Chief Executive of HKMA, to follow-up issues arising from the hearing on 17 November 2009
| M38
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| 83. | Written responses from Mr Y K CHOI, Deputy Chief Executive of HKMA, to follow-up issues arising from the hearing on 17 November 2009
| M39
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| 84. | Written responses from Mr Y K CHOI, Deputy Chief Executive of HKMA, to follow-up issues arising from the hearing on 17 November 2009
| M40
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| 85. | Information provided by Mr Arthur K H YUEN, Deputy Chief Executive of HKMA, in response to the Clerk to Subcommittee's letter dated 4 January 2010
| M41
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| 86. | Information provided by Mr Arthur K H YUEN, Deputy Chief Executive of HKMA, in response to the Clerk to Subcommittee's letter dated 11 February 2010
| M42
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| 87. | Further information provided by Mr Arthur K H YUEN, Deputy Chief Executive of HKMA dated 24 May 2010
| M43
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| 88. | Further information provided by Mr Arthur K H YUEN, Deputy Chief Executive of HKMA dated 5 August 2010
| M44
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| 89. | Sample checklists for on-site examinations of banks provided by Mr Joseph YAM, MA, in response to members' requests at the hearing on 22 May 2009
| M2(C)##
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| 90. | Comments on relevant extracts of the draft report of the Subcommittee from HKMA
| W100(C)**
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| 91. | Comments on relevant extracts of the draft report of the Subcommittee from Mr Joseph YAM, then MA
| W101(C)**
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