Regulatory Alerts2018-08-22
Added · Updated
Guidance Note on Cooperation with the HKMA in Investigations and Enforcement Proceedings
The Hong Kong Monetary Authority (HKMA) issued this guideline to outline the framework for cooperation with Authorized Institutions during investigations and enforcement proceedings. It establishes the regulatory expectations for entities to assist the HKMA effectively while addressing the potential benefits of such cooperation. The document serves as a key reference for banking conduct and enforcement discipline within the regulated sector.
GLI
Current
Guideline Number: 17.3
Issue Date:
22 Aug 2018
20180822-2-EN.pdf (456.4 KB)
Topic:
Banking Conduct & Enforcement - Enforcement/Discipline
Keyword:
Group:
All Authorized Institutions
Specific
Directly related Document
Cross referenced Document
Version History
Superseded Document
Directly related Document
GLI
Current
22 Aug 2018
Guidance Note on Cooperation with the HKMA in Investigations and Enforcement Proceedings
CIR
Current
28 Dec 2017
Guidance Note Issued by the Securities and Futures Commission ("SFC") on Benefits of Cooperation in Investigations and Enforcement Proceedings (“Guidance Note”)
GLI
Current
22 Aug 2018
Guidance Note on Cooperation with the HKMA in Investigations and Enforcement Proceedings
CIR
Current
28 Dec 2017
Guidance Note Issued by the Securities and Futures Commission ("SFC") on Benefits of Cooperation in Investigations and Enforcement Proceedings (“Guidance Note”)
Version History
Superseded Document