Papers

Securities, futures and debt markets Year 2004 - 2005 Consultation conclusions on the regulatory framework for addressing analyst conflicts of interest [CB(1)172/04-05(01)] Process Review Panel for the Securities and Futures Commission Annual Report to the Financial Secretary for 2004 [CB(1)1956/04-05] The Securities and Futures Commission Quarterly Report for October to December 2004 [CB(1)902/04-05] The Securities and Futures Commission Quarterly Report for July to September 2004 [CB(1)212/04-05] Review of the disclosure of interests regime under Part XV of the Securities and Futures Ordinance [CB(1)1312/04-05(08)] (6 May 2005) Statement by Peter AU-YANG, Chief Operating Officer and Executive Director, Securities and Futures Commission [CB(1)1472/04-05(01)] (6 May 2005) List of follow-up actions for the meeting held on 4 April 2005[CB(1)1425/04-05(01)](4 April 2005) Administration's response on items 1 and 2 of the list of follow-up actions for the meeting on 4 April 2005[CB(1)1425/04-05(02)](4 April 2005) Administration's response to members' concerns on Briefing on the Securities and Futures (Amendment) (No. 2) Bill 2005 - Proposals to give statutory backing to major listing requirements[CB(1)1463/04-05(01)](4 April 2005) Background brief on proposal to give statutory backing to major listing requirements prepared by the Legislative Council Secretariat [CB(1)1160/04-05(05)] (4 April 2005) Consultation papers on Proposed amendments to the Securities and Futures Ordinance to give statutory backing to major listing requirements and Proposed amendments to the Securities and Futures (Stock Market Listing) Rules [CB(1)670/04-05] (4 April 2005) Submission dated 31 March 2005 from the Securities and Futures Commission on proposals to give statutory backing to major listing requirements [CB(1)1200/04-05(01)] (4 April 2005) Securities and Futures (Amendment) (No. 2) Bill 2005 - Proposals to give statutory backing to major listing requirements [CB(1)1160/04-05(04)] (4 April 2005) Securities and Futures Commission Budget for the Financial Year 2005-06 [CB(1)1020/04-05(03)] (7 March 2005) The Securities and Futures Commission's response on item 1 of the list of the follow-up actions for the meeting held on 7 March 2005 [CB(1)1189/04-05(02)] (7 March 2005) Extract from "Objectives and Principles of Securities Regulation" of the International Organization of Securities Commissions (English version only) [CB(1)880/04-05(09)] (17 February 2005) Further discussion on proposed amendments to the Securities and Futures Ordinance - the proposal of splitting the post of the Chairman of Securities and Futures Commission into a non-executive chairman post and a chief executive officer post [CB(1)880/04-05(08)] (17 February 2005) Two articles published on the Economist on 22 January 2005, which mentioned about the teething problems of the Financial Services Authority in the United Kingdom (English version only) [CB(1)881/04-05(01)] (17 February 2005) Information note on Overseas Securities and Futures Regulators prepared by the Research and Library Services Division of the LegCo Secretariat [IN12/04-05] (3 January 2005) Letter dated 8 January 2005 from the Principal Assistant Secretary for Financial Services and the Treasury to the Secretary General of the International Organization of Securities Commissions [CB(1)755/04-05(01)] (3 January 2005) Letter dated 12 January 2005 from the Commission Secretary of the Securities Futures Commission to the Secretary General of the International Organization of Securities Commissions [CB(1)755/04-05(02)] (3 January 2005) Letter dated 12 January 2005 from the Secretary General of the International Organization of Securities Commissions to the Principal Assistant Secretary for Financial Services and the Treasury [CB(1)755/04-05(03)] (3 January 2005) Submission dated 3 January 2005 from ACI - The Financial Markets Association of Hong Kong (Chinese version only) [CB(1)631/04-05(02)] (3 January 2005) Submission dated 30 December 2004 from Professor Simon S M HO, Dean & Professor, School of Business, Hong Kong Baptist University [CB(1)631/04-05(01)] (3 January 2005) Submission dated 24 December 2004 from the Hong Kong Institute of Directors [CB(1)547/04-05(19)] (3 January 2005) Submission dated 23 December 2004 from Professor LOW Chee-keong, Associate Professor in Corporate Law, School of Accountancy, The Chinese University of Hong Kong [CB(1)547/04-05(18)] (3 January 2005) Submission dated 22 December 2004 from the Hong Kong Investment Funds Association [CB(1)547/04-05(17)] (3 January 2005) Submission dated 20 December 2004 from Mr David M WEBB, Editor, Webb-site.com [CB(1)547/04-05(16)] (3 January 2005) Submission dated 20 December 2004 from the Hong Kong Institute of Certified Public Accountants [CB(1)547/04-05(15)] (3 January 2005) Submission dated 17 December 2004 from The Hong Kong Association of Online Brokers [CB(1)547/04-05(14)] (3 January 2005) Submission dated 17 December 2004 from the Hong Kong Securities & Futures Industry Staff Union (Chinese version only) [CB(1)547/04-05(06)] (3 January 2005) Submission dated 17 December 2004 from The Hong Kong Society of Financial Analysts Limited [CB(1)547/04-05(07)] (3 January 2005) Submission dated 17 December 2004 from the Securities and Futures Commission [CB(1)547/04-05(04)] (3 January 2005) Submission dated 16 December 2004 from the Hong Kong Stockbrokers Association Limited [CB(1)547/04-05(08)] (3 January 2005) Submission dated 14 December 2004 from Professor Stephen Y L CHEUNG, Chair Professor, Department of Economics & Finance, City University of Hong Kong (Chinese version only) [CB(1)547/04-05(13)] (3 January 2005) Submission dated 14 December 2004 from the Hong Kong Exchanges and Clearing Limited [CB(1)547/04-05(12)] (3 January 2005) Submission dated 13 December 2004 from the Hong Kong Securities Professionals Association [CB(1)547/04-05(05)] (3 January 2005) Submission dated 7 December 2004 from Dr Stanley HOI Chun-Keung, Associate Professor, Department of Finance & Insurance, Lingnan University [CB(1)547/04-05(11)] (3 January 2005) Submission dated 2 December 2004 from The Law Society of Hong Kong (Securities Law Committee) [CB(1)547/04-05(10)] (3 January 2005) Summary of submissions on Proposal of splitting the post of the Chairman of Securities and Futures Commission into a non-executive chairman post and a chief executive officer post prepared by the Legislative Council Secretariat (Position as at 30 December 2004) [CB(1)595/04-05(01)] (3 January 2005) Background brief on "Proposed measures to address risks arising from securities margin financing" prepared by the Legislative Council Secretariat [CB(1)458/04-05(03)] (17 December 2004) Background brief on "The review of levies of the Investor Compensation Fund" prepared by the Legislative Council Secretariat [CB(1)458/04-05(05)] (17 December 2004) Powerpoint presentation material provided by the Securities and Futures Commission on Progress of public consultation on proposed measures to address risks arising from securities margin financing [CB(1)569/04-05(02)] (17 December 2004) Review of the level and funding of the Investor Compensation Fund, broker defaults since 1998 and the operation of the investor compensation arrangements [CB(1)458/04-05(04)] (17 December 2004) Securities and Futures Commission progress report on the public consultation on proposed measures to address risks arising from securities margin financing [CB(1)458/04-05(02)] (17 December 2004) Background brief on "The proposal of splitting the post of the chairman of the Securities and Futures Commission into the chairman and the chief executive posts" prepared by the Legislative Council Secretariat [CB(1)177/04-05(02)] (10 November 2004) Securities and Futures (Amendment) Bill 2004 [CB(1)177/04-05(01)] (10 November 2004)