Regulatory Alerts2026-01-15
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Good practices on managing operational risk associated with trading activities
The Hong Kong Monetary Authority issued this letter to share good industry practices identified from on-site examinations of authorized institutions' operational risk management for trading activities. The document highlights that robust frameworks are essential to prevent significant financial and reputational damages arising from risks such as unauthorized trading, deal input errors, and settlement failures. Authorized institutions are expected to regularly review their risk management approaches and strengthen their control frameworks by considering the good practices and key observations detailed in the annex.
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