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Following is a question by the Hon Albert Ho and a written reply by the Secretary for Financial Services and the Treasury, Professor K C Chan, in the Legislative Council today (July 11):
Question:
Will the Government provide a breakdown of the cases on which the Securities and Futures Commission (SFC) completed inquiries or investigations in each of the past five financial years by the following:
(a) the types of individuals/corporations (eg. various types of intermediaries conducting regulated activities, listed companies, officers-in-charge of listed companies etc.) who/which were the subjects of the inquiries or investigations; and
(b) the non-statutory requirements or the provisions of the Securities and Futures Ordinance (Cap. 571) concerned in respect of the suspected misconduct under SFC's inquiry or investigation?
Reply:
Madam President,
According to the Securities and Futures Commission (SFC), the statistics on completed inquiries or investigations in the past five financial years as far as they are available are at Annex.
Ends/Wednesday, July 11, 2007
Issued at HKT 12:45
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