Regulatory Alerts2026-01-15
Added · Updated
Good practices on managing operational risk associated with trading activities
The Hong Kong Monetary Authority issues this annex to summarize good practices for Authorized Institutions managing operational risk in trading activities based on regular supervisory reviews. It mandates robust governance, strict segregation of duties, and comprehensive controls across the entire trade lifecycle including pre-trade checks, execution, confirmation, and settlement. The document further requires ongoing risk management through advanced reconciliation, revaluation, and surveillance tools to detect irregularities and enhance control frameworks.
More like this from HKMA
HKMA published 11 documents in the last 30 days. We email you each new one the day it's published.
Topics
Share