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FS welcomes securities report

March 27, 2015

Financial Secretary John Tsang today welcomed the publication of the Securities & Futures Commission's Process Review Panel annual report 2013-14.

 

The panel reviewed 59 completed or discontinued commission cases including licensing and inspection of intermediaries, handling of complaints, corporate finance, investigation and disciplinary action, and authorisation of investment products.

 

The panel also made a number of recommendations to the SFC to help enhance its procedures and guidelines in those areas.

 

Mr Tsang said the recommendations made in the report are conducive to the fair and consistent exercise of the SFC's regulatory powers.

 

Click here for the full report.



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