| Documents | Subcommittee reference no.
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| 1. | Witness statement of Mr Martin WHEATLEY, Chief Executive Officer of SFC
| W13(C)
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| 2. | Glossary of Terms
| W13(C)
Appendix 1
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| 3. | Regulatory Objectives and Functions of the SFC under the SFO
| W13(C)
Appendix 2
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| 4. | Seventeenth and Eighteenth Schedule to the Companies Ordinance
| W13(C)
Appendix 3
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| 5. | Procedure for Registration of Prospectuses
| W13(C)
Appendix 4
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| 6. | Procedure for Seeking Authorization of Marketing Material relating to Debentures (including Structured Notes)
| W13(C)
Appendix 5
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| 7. | Table of Licensed and Registered Persons
| W13(C)
Appendix 6
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| 8. | Table of Investor Education Work on Retail Structured Products and Investment Advisers
| W13(C)
Appendix 7
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| 9. | SFC Press Release dated 22 January 2009
| W13(C)
Appendix 8
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| 10. | Comments from HKMA on Various Codes and Guidelines published by the SFC
| W13(C)
Appendix 9
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| 11. | Curriculum Vitae of Mr Martin WHEATLEY, Chief Executive Officer of SFC
| W14**
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| 12. | Role and responsibilities of the Chief Executive Officer of SFC
| W15
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| 13. | Opening statement by Mr Martin WHEATLEY, Chief Executive Officer of SFC, at the hearing on 23 June 2009
| W16
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| 14. | Witness statement of Mr Brian HO, Executive Director (Corporate Finance Division) of SFC
| W17(C)
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| 15. | CO Compliance Checklist
| W17(C)
Appendix A
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| 16. | CO Marketing Guidelines
| W17(C)
Appendix B
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| 17. | Summary of points to note when reviewing prospectuses and marketing materials
| W17(C)
Appendix C
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| 18. | Key Disclosures in Issue Prospectuses of Outstanding Minibond Series
| W17(C)
Appendix D
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| 19. | Examples of Comments raised by SFC on Draft Prospectuses and Marketing Leaflets of Certain Series of Minibonds and Constellation Notes
| W17(C)
Appendix E
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| 20. | Brief Comparison between the Contents of the Prospectuses for Minibond Series 1, 27, 34 & 35
| W17(C)
Appendix F
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| 21. | Brief Comparison between the Contents of the Marketing Leaflets for Minibond Series 16, 27, 34 & 35
| W17(C)
Appendix G
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| 22. | Brief Comparison between the Contents of the Prospectuses for Constellation Notes Series 1, 44, 56 and 58
| W17(C)
Appendix H
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| 23. | Brief Comparison between the Contents of the Marketing Leaflets for Constellation Notes Series 10, 11, 44, 56 & 58
| W17(C)
Appendix I
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| 24. | Risk Disclosures in the Prospectuses and Marketing Leaflets of Minibond Series 27, 34 and 35 and Constellation Notes Series 44, 56 & 58
| W17(C)
Appendix J
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| 25. | Curriculum Vitae of Mr Brian HO, Executive Director (Corporate Finance Division) of SFC
| W18**
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| 26. | Opening statement by Mr Martin WHEATLEY, Chief Executive Officer of SFC, at the hearing on 3 August 2009
| W19
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| 27. | Opening statement by Mr Martin WHEATLEY, Chief Executive Officer of SFC, at the hearing on 9 February 2010
| W25
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| 28. | Information provided by SFC in response to Clerk to Subcommittee's letter dated 22 December 2008
| S1
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| 29. | Guidelines on use of offer awareness and summary disclosure materials in offerings of shares and debentures under CO (March 2003)
| S1
Appendix 1
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| 30. | Guidelines on using a "dual prospectus" structure to conduct programme offers of shares or debentures requiring a prospectus under CO (21 February 2003)
| S1
Appendix 2
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| 31. | Guidelines on applying for a relaxation from the procedural formalities to be fulfilled upon registration of a prospectus under CO (21 February 2003)
| S1
Appendix 3
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| 32. | Companies Ordinance (Exemption of Companies and Prospectuses form Compliance with Provisions) Notice (Cap. 32 sections 38A and 342A)
| S1
Appendix 4
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| 33. | CO Parts II and XII
| S1
Appendix 5
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| 34. | CO (Seventeenth Schedule and Twenty First Schedule)
| S1
Appendix 6
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| 35. | Consultation Paper on Possible Reforms to the Prospectus Regime in CO (August 2005)
| S1
Appendix 7
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| 36. | Written responses from FSTB, HKMA and SFC to the questions raised by members for the House Committee meeting in October 2008
| S1
Appendix 8
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| 37. | SFO Parts V to IX
| S1
Appendix 9
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| 38. | Memorandum of Understanding between SFC and HKMA (12 December 2002) and the addendum thereto of 1 March 2004
| S1
Appendix 10
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| 39. | Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission (May 2006)
| S1
Appendix 11
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| 40. | Management, Supervision and Internal Control Guidelines for Persons Licensed by or Registered with the Securities and Futures Commission (April 2003)
| S1
Appendix 12
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| 41. | Written responses from FSTB, HKMA and SFC to the questions raised by Hon KAM Nai-wai in October 2008
| S1
Appendix 13
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| 42. | Speech – "Systematic Risk: Who's Watching the Baby?" presented by Mr Martin WHEATLEY at the Asia Pacific Capital Markets Congress [5 July 2007]
| S2
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| 43. | Speech – "Transmission of Global Financial Risks" presented by Mr Martin WHEATLEY at the Lujiazui Forum in Shanghai [9 May 2008]
| S3
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| 44. | Speech – "Recent developments in Global Financial Markets" presented by Mr Eddy FONG at the Annual Dinner of the Toy Manufacturers of Hong Kong [11 September 2007]
| S4
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| 45. | Speech – "Challenges and Opportunities for Asia Pacific after Subprime – 'A Regulatory Perspective'" presented by Mr Eddy FONG at the Asia Securities Forum 2008 [5 September 2008]
| S5
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| 46. | Speech – "Challenges and Opportunities for Asia Pacific after Subprime – 'Issues, Lessons and the Global Regulatory Response'" presented by Mr Martin WHEATLEY at the Asia Securities Forum 2008 [6 September 2008]
| S6
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| 47. | Keynote address – "Mis-selling: Consequences at a Glance" presented by Mr Mark STEWARD at the 4th Annual Wealth Management Conference [23 October 2008]
| S7
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| 48. | Speech – "From Wall Street to High Street – the Implications for China" presented by Mr Eddy FONG at the State-owned Assets Supervision and Administration Commission [23 October 2008]
| S8
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| 49. | Comments – "Risks and exposures of structured products" made by Mr Martin WHEATLEY [24 October 2008]
| S9
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| 50. | Keynote address – "SEC Regulation Outside the United States" presented by Ms Alexa LAM at the 7th Annual SEC Regulation Outside the United States Conference [29 October 2008]
| S10
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| 51. | Welcoming address presented by Ms Alexa LAM at the 4th Annual Real Estate Investment 1Q 2008 [4 November 2008]
| S11
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| 52. | Keynote address – "Road Ahead for Risk Management in the Greater China Market" presented by Mr Alexa LAM at the Annual Symposium on Risk Management [7 November 2008]
| S12
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| 53. | Main points of the Opening Statement made by Mr Martin WHEATLEY at the Meeting of the Special House Committee of the Legislative Council [13 October 2008]
| S13
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| 54. | Press releases issued by SFC on issues relating to the financial crisis and Lehman Brothers-related Minibonds and structured financial products [September – October 2008]
| S14
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| 55. | Speech - "Market Volatility - Challenges for the SFC and its Regulatory Approaches" presented by Mr Eddy FONG at the Hong Kong Stockbrokers Association Luncheon Seminar [15 July 2008]
| S15
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| 56. | Information provided by SFC dated 26 March 2009
| S16
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| 57. | Consultation Conclusions on the Consultation Paper on Possible Reforms to the Prospectus Regime in CO issued by SFC in September 2006
| S17
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| 58. | SFC's Advertising Guidelines Applicable to Collective Investment Schemes Authorized under the Product Codes [July 2008]
| S18
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| 59. | SFC's Budget of Income & Expenditure for the financial year 2009/2010 [18 February 2009]
| S19
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| 60. | Report on Selling Practices of Licensed Investment Advisers issued by SFC on 23 February 2005
| S20
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| 61. | Press Release issued by SFC on "Sun Hung Kai Investment Services Ltd agrees with SFC to repurchase Minibonds from its clients at original value" [22 January 2009]
| S21
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| 62. | Press Release issued by SFC on "KGI Asia Ltd agrees with SFC to repurchase Minibonds from its clients at original value" [5 April 2009]
| S22
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| 63. | Regulatory Challenges and Responses issued by SFC in March 2006
| S23
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| 64. | Retail Investor Survey 2005 issued by SFC in March 2006
| S24
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| 65. | Structured Product Investor Survey issued by SFC in November 2006
| S25
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| 66. | Survey on Engagement of Investment Advisers issued by SFC in September 2006
| S26
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| 67. | Report on Findings of Second Round of Thematic Inspection of Licensed Investment Advisers issued by SFC in May 2007
| S27
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| 68. | SFC's article entitled "Should you invest in structured notes" [July 2005]
| S28
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| 69. | SFC's article entitled "Retail Structured Notes – Buyer Beware" [November 2006]
| S29
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| 70. | Circular entitled "Enhanced prospective investors' understanding of structured products" issued by SFC in November 2006
| S30
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| 71. | Information provided by SFC dated 10 June 2009
| S31
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| 72. | Leaflets of Minibonds series 27, 34 and 35
| S32
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| 73. | Leaflets of Constellation Notes series 44, 56 and 58
| S33
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| 74. | Written responses from Mr Martin WHEATLEY, Chief Executive Officer of SFC, to follow-up issues arising from the hearing on 23 June 2009
| S34
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| 75. | Written responses from Mr Martin WHEATLEY, Chief Executive Officer of SFC, to follow-up issues arising from the hearing on 26 June 2009
| S35
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| 76. | Written responses from Mr Martin WHEATLEY, Chief Executive Officer of SFC, to follow-up issues arising from the hearing on 26 June 2009
| S37
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| 77. | Written responses from Mr Martin WHEATLEY, Chief Executive Officer of SFC, to follow-up issues arising from the hearing on 3 July 2009
| S38
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| 78. | Key Findings of Retail Investor Survey issued by SFC in December 2008
| S39
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| 79. | Written responses from Mr Martin WHEATLEY, Chief Executive Officer of SFC, to follow-up issues arising from the hearing on 23 June 2009
| S40
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| 80. | Written responses from Mr Martin WHEATLEY, Chief Executive Officer of SFC, to follow-up issues arising from the hearing on 26 June 2009
| S41
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| 81. | Written responses from Mr Martin WHEATLEY, Chief Executive Officer of SFC, to follow-up issues arising from the hearing on 3 July 2009
| S42
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| 82. | Written responses from Mr Martin WHEATLEY, Chief Executive Officer of SFC, to follow-up issues arising from the hearing on 7 July 2009
| S43
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| 83. | Pages 6 to 7 of the issue prospectus of Minibonds series 35
| S44
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| 84. | Pages 14 to 17 of the issue prospectus of Constellation Notes series 56 and 58
| S45
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| 85. | Sample checklist provided by Mr Martin WHEATLEY, Chief Executive Officer of SFC, in response to follow-up issues arising from the hearing on 26 June 2009
| S46##
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| 86. | Written responses from Mr Brian HO, Executive Director (Corporate Finance Division) of SFC, to follow-up issues arising from the hearing on 21 July 2009
| S47
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| 87. | Press release issued by SFC on 22 July 2009 on the 16 distributing banks' repurchase scheme on Minibonds
| S48
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| 88. | Written responses from Mr Martin WHEATLEY, Chief Executive Officer of SFC, to follow-up issues arising from the hearing on 3 August 2009
| S49
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| 89. | Written responses from Mr Martin WHEATLEY, Chief Executive Officer of SFC, to follow-up issues arising from the hearing on 3 August 2009 attaching copy of a letter from HSBC Bank USA, National Association
| S50
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| 90. | Press release issued by SFC on 17 December 2009 on its completion of investigations of all 19 Minibond distributors and agreement with Grand Cathay Securities (Hong Kong) Ltd on the repurchase of Minibond
| S51
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| 91. | Press release issued by SFC on 23 December 2009 on the resolution reached by SFC and HKMA with DSB and Mevas concerning their sale of certain Equity Index-linked Fixed Coupon Principal Protected Notes issued by Lehman Brothers
| S52
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| 92. | Press release issued by SFC on 13 January 2010 on its agreement with Karl Thomson Investment Consultants Ltd concerning sale of Lehman Brothers Minibonds
| S53
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| 93. | Written responses from Mr Martin WHEATLEY, Chief Executive Officer of SFC, to follow-up issues arising from the hearing on 8 January 2010
| S54
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| 94. | Written responses from Mr Martin WHEATLEY, Chief Executive Officer of SFC, to follow-up issues arising from the hearing on 8 January 2010
| S55
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| 95. | Written responses from Mr Martin WHEATLEY, Chief Executive Officer of SFC, to follow-up issues arising from the hearings on 26 and 29 January 2010 attended by Mr Harold KO
| S56
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| 96. | Witness statement dated 8 March 2010 from Mr Martin WHEATLEY, Chief Executive Officer of SFC
| S57
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| 97. | Written responses from Mr Martin WHEATLEY, Chief Executive Officer of SFC, to follow-up issues arising from the hearings on 26 and 29 January 2010 attended by Mr Harold KO
| S58
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| 98. | Written responses from Mr Martin WHEATLEY, Chief Executive Officer of SFC, to follow-up issues arising from the hearing on 9 February 2010
| S59
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| 99. | Written responses from Mr Martin WHEATLEY, Chief Executive Officer of SFC, to written questions raised by Mr LEUNG Kwok-hung on 28 January 2010
| S60
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| 100. | A bundle of documents provided by Mr Martin WHEATLEY, Chief Executive Officer of SFC, relating to the hearings on 26 and 29 January and 9 February 2010
| S61##
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| 101. | "Internal Guidelines – Equity-linked Deposits offered by Authorized Institution" issued by SFC
| S62
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| 102. | An email titled "Re: Phase 3 CO Prospectus Regime Reforms – Draft Consultation Paper for your comments" on 10 November 2004 from Stephen PO, Senior Director of IIP, to William Pearson, Director of CFD, and others
| S63
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| 103. | "Memorandum decision of Judge Peck of the United States Bankruptcy Court for the Southern District of New York, in Lehman Brothers Special Financing, Inc. v. BNY Corporate Trustee Services, Ltd., Case No. 08-13555, Adv. No. 09-01242 (25 January 2010)" provided by CEO/SFC in connection with paragraphs 81 and 82 of S57
| S64
|
| 104. | "England and Wales Court of Appeal (Civil Division) decision in Perpetual Trustee Company Ltd & Anor v BNY Corporate Trustee Services Ltd & Ors [2009] EWCA Civ 1160 (6 November 2009)" provided by CEO/SFC in connection with paragraphs 81 and 82 of S57
| S65
|
| 105. | Written responses from Mr Martin WHEATLEY, CEO/SFC, to follow-up issues arising from the hearing on 26 March 2010
| S66
|
| 106. | Written responses from Mr Martin WHEATLEY, CEO/SFC, to follow-up issues arising from the hearing on 26 March 2010
| S67
|
| 107. | Information provided by Mr Martin WHEATLEY, CEO/SFC, dated 24 May 2010
| S68
|
| 108. | Issues raised by the Lehmans Minibonds crisis –Report to the Financial Secretary
| S2(C)@@
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| 109. | Written exchanges between the Chief Executive Officer of SFC, HKMA and the Government from 7 to 22 July 2009 relating to the agreement on the repurchase of Lehman Brothers-related Minibonds by the 16 distributing banks
| S3(C)##
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| 110. | Agreement reached by SFC, HKMA and the 16 distributing banks in relation to the repurchase of Minibonds from eligible customers as announced on 22 July 2009
| S4(C)##
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| 111. | SFC's document entitled "A Thematic Analysis of the Sale of Minibonds"
| S5(C)##
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| 112. | Letter dated 14 February 2006 from Mr Martin WHEATLEY, CEO/SFC to Mr Henry TANG, FS, attaching a paper on "Regulation of Registered Institutions and Relevant Individuals", provided by CEO/SFC in response to the follow-up issues arising from the hearing on 8 January 2010
| S7(C)
(in connection with paragraph 2.3 of S55)
|
| 113. | Draft Notice of Proposed Disciplinary Action
| S8(C)**
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| 114. | Draft Notice of Proposed Disciplinary Action
| S9(C)**
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| 115. | Comments on relevant extracts of the draft report of the Subcommittee from SFC
| W98(C)**
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| 116. | Comments on relevant extracts of the draft report of the Subcommittee from Mr Martin WHEATLEY, then Chief Executive Officer of SFC
| W99(C)**
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