Year 2015 - 2016
Year 2014 - 2015
Year 2013 - 2014
Year 2012 - 2013


Papers

Securities, futures and debt markets

Regulation of listed companies and market activities

Year 2015 - 2016



LC Paper No.PaperMeeting date
CB(1)57/15-16(03) Administration's paper on "Phase 1 Clearing and Phase 2 Reporting under the Over-the-counter Derivatives Regulatory Regime in Hong Kong" 2 November 2015
CB(1)126/15-16(02) Administration's paper on the over-the-counter derivatives regulatory regime in Hong Kong (power-point presentation materials) 2 November 2015
CB(1)57/15-16(04) Paper on the over-the-counter derivatives regulatory regime in Hong Kong prepared by the Legislative Council Secretariat (background brief) 2 November 2015
CB(1)342/15-16(01) Hong Kong Exchanges and Clearing Limited's paper on the latest progress of the extension of trading hours in the securities market 4 January 2016
CB(1)440/15-16(07) Administration's paper on "Proposed expansion of the scope of the short position reporting regime in Hong Kong" 15 February 2016
CB(1)440/15-16(08) Paper on the short position reporting regime of Hong Kong prepared by the Legislative Council Secretariat (background brief) 15 February 2016
CB(1)419/15-16(01) Submission from a member of the public on the proposed expansion of the scope of the short position reporting regime in Hong Kong (English version only) 15 February 2016
CB(1)1015/15-16(02) Administration's paper on environmental, social and governance disclosure requirements of listed companies (power-point presentation materials) 6 June 2016
CB(1)994/15-16(03) Further letter dated 31 May 2016 from Hon LEE Cheuk-yan enclosing relevant submissions on the issue (Chinese version only) 6 June 2016
CB(1)994/15-16(04) Hong Kong Exchanges and Clearing Limited's paper on "Environmental, social and governance disclosure requirements of listed companies" 6 June 2016
CB(1)994/15-16(02) Letter dated 30 May 2016 from Hon LEE Cheuk-yan (Chinese version only) 6 June 2016


Year 2014 - 2015



LC Paper No.PaperMeeting date
CB(1)269/14-15(04) Administration's paper on "First Phase of Implementation of the Over-the-counter Derivatives Regulatory Regime in Hong Kong" 5 January 2015
CB(1)410/14-15(01) Administration's paper on proposed implementation of the first phase of the over-the-counter derivatives regulatory regime in Hong Kong (power-point presentation materials) 5 January 2015
CB(1)476/14-15(02) Administration's response on issues relating to agenda item IV "Proposed implementation of the first phase of the over-the-counter derivatives regulatory regime in Hong Kong" raising at the meeting on 5 January 2015 (follow-up paper) 5 January 2015
CB(1)476/14-15(01) List of follow-up actions arising from the discussion at the meeting on 5 January 2015 5 January 2015
CB(1)269/14-15(05) Paper on proposed implementation of the first phase of the over-the-counter derivatives regulatory regime in Hong Kong prepared by the Legislative Council Secretariat (background brief) 5 January 2015


Year 2013 - 2014



LC Paper No.PaperMeeting date
CB(1)625/13-14(06) Administration's paper on "Legislative proposal to provide an enabling environment for the introduction of an uncertificated securities regime" 6 January 2014
CB(1)680/13-14(01) Administration's paper on legislative proposal to provide an enabling environment for the introduction of an uncertificated securities regime (power-point presentation materials) 6 January 2014
CB(1)625/13-14(07) Paper on legislative proposal to provide an enabling environment for the introduction of an uncertificated securities regime prepared by the Legislative Council Secretariat (background brief) 6 January 2014
CB(1)1264/13-14(01) Hon Christopher CHEUNG Wah-fung's letter on issues relating to establishment of mutual market access between the stock markets of Hong Kong and Shanghai dated 11 April 2014 (Chinese version only) 5 May 2014
CB(1)1543/13-14(04) Administration's paper on "Establishment of Shanghai-Hong Kong Stock Connect" 9 June 2014
CB(1)1707/13-14(02) Administration's response on issues relating to agenda item V on "Establishment of Shanghai-Hong Kong Stock Connect" raising at the meeting on 9 June 2014 (follow-up paper) 9 June 2014
CB(1)1707/13-14(01) List of follow-up actions arising from the discussion at the meeting on 9 June 2014 9 June 2014
CB(1)1589/13-14(02) Speaking note of the Secretary for Financial Services and the Treasury on establishment of Shanghai-Hong Kong stock connect (follow-up paper) (Chinese version only) 9 June 2014
CB(1)1668/13-14(05) Administration's paper on "Legislative proposal to implement the stamp duty waiver in respect of exchange traded funds" 7 July 2014
CB(1)1668/13-14(01) Administration's paper on "Proposals to Improve the Regulatory Regime for Listed Entity Auditors" 7 July 2014
CB(1)1762/13-14(01) Administration's paper on proposals to improve the regulatory regime for listed entity auditors (power-point presentation materials) 7 July 2014
CB(1)1913/13-14(02) Administration's response on issues relating to agenda item III "Proposals to improve the regulatory regime for listed entity auditors" raising at the meeting on 7 July 2014 (follow-up paper) 7 July 2014
CB(1)1913/13-14(01) List of follow-up actions arising from the discussion at the meeting on 7 July 2014 7 July 2014


Year 2012 - 2013



LC Paper No.PaperMeeting date
CB(1)599/12-13(03) Administration's paper on "Legislative Proposal on the Regulation of Over-the-counter Derivative Market" 4 March 2013
CB(1)662/12-13(01) Administration's paper on legislative proposal on the regulation of over-the-counter derivatives market (power-point presentation materials) 4 March 2013
CB(1)664/12-13(01) Hon Dennis KWOK's letter on regulation of collective investment scheme in relation to investment offered by property developers in collective hotel ownership in Hong Kong dated 4 March 2013 (English version only) 4 March 2013
CB(1)791/12-13(01) Hon Dennis KWOK's letter to the Securities and Futures Commission on regulation of collective investment scheme in relation to investment offered by property developers in collective hotel ownership in Hong Kong dated 4 March 2013 (English version only) 4 March 2013
8 April 2013
CB(1)599/12-13(04) Paper on regulation of over-the-counter derivatives market prepared by the Legislative Council Secretariat (updated background brief) 4 March 2013
CB(1)791/12-13(02) SFC's response dated 8 March 2013 to Hon Dennis KWOK's letter on regulation of collective investment scheme in relation to investment offered by property developers in collective hotel ownership in Hong Kong (English version only) 4 March 2013
8 April 2013
CB(1)1137/12-13(01) Administration's paper on Public consultation on proposed amendments to the professional investor regime and the client agreement requirements 3 June 2013
CB(1)1128/12-13(04) Administration's paper on "Sponsor Regulation and Other Investor Protection Initiatives" 3 June 2013
CB(1)1128/12-13(07) Joint letter dated 20 May 2013 from Hon Dennis KWOK and Hon KWOK Ka-ki on issues arising from the voluntary surrender by the Hong Kong Mercantile Exchange of its authorization to provide automated trading services (Chinese version only) 3 June 2013
CB(1)1168/12-13(01) Letter dated 13 May 2013 from Hon Dennis KWOK on issues arising from the cancellation of sale contracts of hotel room units at The Apex Horizon (Chinese version only) 3 June 2013
5 July 2013
CB(1)1168/12-13(02) Letter dated 20 May 2013 from Hon Albert HO on issues arising from the cancellation of sale contracts of hotel room units at The Apex Horizon (Chinese version only) 3 June 2013
5 July 2013
CB(1)1128/12-13(08) Letter dated 20 May 2013 from Hon Albert HO on issues arising from the voluntary surrender by the Hong Kong Mercantile Exchange of its authorization to provide automated trading services (Chinese version only) 3 June 2013
CB(1)1157/12-13(01) Letter dated 24 May 2013 from Hon Albert HO on issues arising from the voluntary surrender by the Hong Kong Mercantile Exchange of its authorization to provide automated trading services (Chinese version only) 3 June 2013
CB(1)1429/12-13(01) List of follow-up actions arising from the discussion at the meeting on 3 June 2013 3 June 2013
CB(1)1429/12-13(02)
• Administration's response to issues on "Sponsor regulation and other investor protection initiatives" as set out in LC Paper No. CB(1)1429/12-13(01)
 3 June 2013
FS28/12-13 Paper on Regulation of automated trading services prepared by the Legislative Council Secretariat (fact sheet) (Chinese version only) 3 June 2013
CB(1)1128/12-13(05) Paper on Sponsor regulation and other investor protection initiatives prepared by the Legislative Council Secretariat (background brief) 3 June 2013
CB(1)1128/12-13(06) Securities and Futures Commission's paper on regulation of automated trading services 3 June 2013
CB(1)1168/12-13(03) Securities and Futures Commission's response dated 24 May 2013 to issues raised in the letters of Hon Dennis KWOK and Hon Albert HO arising from the cancellation of sale contracts of hotel room units at The Apex Horizon 3 June 2013
5 July 2013
CB(1)1401/12-13(04) Administration's paper on regulation of collective investment schemes 5 July 2013
FS31/12-13 Paper on regulation of collective investment schemes prepared by the Legislative Council Secretariat (fact sheet) 5 July 2013