Hong Kong Monetary Authority

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2019-03-01Revised Return of Capital Adequacy Ratio (Form MA(BS)3) Enclosure 13: Completion Instructions - Part IV (Market Risk)
2019-03-01Revised Return of Capital Adequacy Ratio (Form MA(BS)3) Enclosure 1: Revised Return Template
2019-03-01Revised Return of Capital Adequacy Ratio (Form MA(BS)3) Enclosure 10: Completion Instructions - Part IIId (Securitization Exposures)
2019-03-01Revised Return of Capital Adequacy Ratio (Form MA(BS)3) Completion Instructions - Part I
2019-02-01Remote on-boarding of individual customers
2019-01-25Handling Procedures for Following up Mis-transfer of Funds
2019-01-17FRTB: Revised Market Risk Standards
2019-01-11Code of Practice – Banking (Securitization) Code
2019-01-10Guide to Enhanced Competency Framework on Cybersecurity
2019-01-10Update on Enhanced Competency Framework on Cybersecurity
2019-01-04Code of Practice – Banking (Securitization) Code
2018-12-21Banking (Exposure Limits) Rules, Banking (Capital) (Amendment) Rules 2018 and Banking (Disclosure) (Amendment) (No. 2) Rules 2018
2018-12-21Misconduct Risks in Selling of Investment Funds
2018-12-19Supervision for Bank Culture
2018-12-17Pillar 3 disclosure requirements – updated framework
2018-12-14Return of Interest Rate Risk Exposures (MA(BS)12)
2018-12-14Interest Rate Risk in the Banking Book (IRRBB): Local Implementation
2018-12-14Return of Interest Rate Risk in the Banking Book (Supplementary Information) (Form MA(BS)12B)
2018-12-14Interest Rate Risk in the Banking Book (IRRBB): Local Implementation
2018-11-23Complaints Watch Issue No. 12
2018-11-23Update on Enhanced Competency Framework on Cybersecurity
2018-11-23Complaints Watch Issue No. 12
2018-11-16Banking (Exposure Limits) Rules, Banking (Capital) (Amendment) Rules 2018 and Banking (Disclosure) (Amendment) (No. 2) Rules 2018
2018-11-09Statements issued by the Financial Action Task Force
2018-10-30Requirements Applicable to Online and Offline Distribution of Non-SFO-Regulated Structured Investment Products Annex 2
2018-10-30Requirements Applicable to Online and Offline Distribution of Non-SFO-Regulated Structured Investment Products
2018-10-30Requirements Applicable to Online and Offline Distribution of Non-SFO-Regulated Structured Investment Products
2018-10-19Revised Supervisory Policy Manual Module IC-5 on Stress-testing
2018-10-19Supervisory Approach on Anti-Money Laundering and Counter-Financing of Terrorism
2018-10-19Monetary Authority Circular on Compliance with the Code of Banking Practice
2018-10-19Supervisory Policy Manual SPM AML-1: Supervisory Approach on Anti-Money Laundering and Counter-Financing of Terrorism
2018-10-18Investment horizon and suitability assessment
2018-10-18Eligible Collateral for the Renminbi (RMB) Liquidity Facility
2018-10-08Monetary Authority Notice on Recurrent Contraventions of the Banking Ordinance
2018-09-21Renminbi Liquidity Facility Expansion of Collateral
2018-08-24Operational Incidents Watch Issue No. 9
2018-08-24HKMA Guidance on Online Distribution and Advisory Platforms for Non-SFO-regulated Structured Investment Products
2018-08-24HKMA Guidance on Online Distribution and Advisory Platforms for Non-SFO-Regulated Structured Investment Products
2018-08-24Operational Incidents Watch Issue No. 9
2018-08-24Online Distribution and Advisory Platforms for Non-SFO-regulated Structured Investment Products
2018-08-22Guidance Note on Cooperation with the HKMA in Investigations and Enforcement Proceedings
2018-08-22Guidance Note on Cooperation with the HKMA in Investigations and Enforcement Proceedings
2018-08-17Revised Return of Certificate of Compliance (Form MA(BS)1F(a))
2018-08-10Circular Issued by the Securities and Futures Commission on Margin Financing Activities Disguised as Investments
2018-08-10Circular Issued by the Securities and Futures Commission on Margin Financing Activities Disguised as Investments
2018-08-10Mystery Shopping Programme on Authorized Institutions’ Selling Practices in respect of Investment Products and Insurance Products
2018-08-03Implementation of Pillar 3 Disclosure Requirements – Consolidated and Enhanced Framework – Standard Disclosure Templates and Tables
2018-08-03Implementation of Pillar 3 Disclosure Requirements – Consolidated and Enhanced Framework – Standard Disclosure Templates and Tables
2018-07-26Exposure Limits: Local Implementation Timeline
2018-07-13United Nations Sanctions (Democratic People’s Republic of Korea) Regulation: Publication of Designated Lists
2018-07-13Statements issued by the Financial Action Task Force
2018-07-09Revised Return of Certificate of Compliance with the Banking Ordinance (Form MA(BS)1F(a))
2018-07-09Banking (Exposure Limits) Rules and Revised Return of Certificate of Compliance (Form MA(BS)1F(a))
2018-07-09Banking (Exposure Limits) Rules Expedient Reporting Arrangements for September 2018 Return
2018-07-09Completion Instructions for Certificate of Compliance with the Banking Ordinance (Form MA(BS)1F(a))
2018-07-03Supervisory Policy Manual Revised Module CR-G-13 Counterparty Credit Risk Management
2018-07-03Supervisory Policy Manual CR-G-13 Counterparty Credit Risk Management
2018-06-14Small-value Payment Services Through Internet Banking
2018-06-12Implementation of Cyber Resilience Assessment Framework
2018-06-07Banking (Disclosure) (Amendment) Rules 2018 and Banking (Specification of Multilateral Development Bank) (Amendment) Notice 2018
2018-06-06Selling of Annuity Insurance Products
2018-05-25Disclosure Requirements for Non-SFO-regulated Structured Investment Products under Discretionary Accounts
2018-05-25Expansion of Types of Life Insurance Products Eligible for Exemption from Financial Needs Analysis
2018-05-18Banking (Exposure Limits) Rules
2018-05-16Complaints Watch Issue No. 11
2018-05-16Complaints Watch Issue No. 11
2018-05-10Guidance Paper on Transaction Screening, Transaction Monitoring and Suspicious Transaction Reporting
2018-05-10Strengthening Information and Intelligence Sharing
2018-05-09Credit Risk Management for Personal Lending Business
2018-05-04Banking (Disclosure) (Amendment) Rules 2018 and Banking (Specification of Multilateral Development Bank) (Amendment) Notice 2018
2018-05-02Hong Kong Money Laundering and Terrorist Financing Risk Assessment Report Seminar
2018-05-02Registration Form for Seminar on Hong Kong Money Laundering and Terrorist Financing Risk Assessment Report
2018-05-02Hong Kong Money Laundering and Terrorist Financing Risk Assessment Report
2018-05-02Hong Kong Money Laundering and Terrorist Financing Risk Assessment Report
2018-04-27Amendments to Guideline on Exercising Power to Impose Pecuniary Penalty under s 23(1) of the Anti-Money Laundering and Counter-Terrorist Financing Ordinance
2018-04-27Guideline on Exercising Power to Impose Pecuniary Penalty under s 23(1) of the AMLO
2018-04-24Knowledge Kit for Independent Non-Executive Directors
2018-04-12Feedback from Recent Thematic Review of AIs’ Sanctions Screening Systems
2018-04-12Feedback from Recent Thematic Review of AIs’ Sanctions Screening Systems
2018-03-26Implementation guidance on securitization framework under Banking (Capital) Rules
2018-03-26Implementation guidance on securitization framework under Banking (Capital) Rules
2018-03-22Reminder of Operating Arrangements for the Convertibility Undertaking
2018-03-22Enhanced Competency Framework on Anti-Money Laundering and Counter-Financing of Terrorism
2018-03-22Reminder of Operating Arrangements for the Convertibility Undertaking
2018-03-22Guide to Enhanced Competency Framework on Anti-Money Laundering and Counter-Financing of Terrorism
2018-03-16Transfer of General Insurance Business of The Hong Kong Mortgage Corporation Limited
2018-03-16Capital Treatments for Exposures Covered by HKMC Programmes After GI Business Transfer
2018-03-09Guide to Authorization - Chapter 10: Money Brokers
2018-03-09Statements Issued by the Financial Action Task Force
2018-03-08Return of Stable Funding Position of an Authorized Institution (MA(BS)26)
2018-03-08FATF Guidance on Counter Proliferation Financing
2018-03-02Revised Return of Capital Adequacy Ratio (Form MA(BS)3) and New Return of Leverage Ratio (Form MA(BS)27)
2018-03-02Revised Return of Capital Adequacy Ratio Form MA(BS)3 Annex 3 Part II Capital Base
2018-03-02Revised Return of Capital Adequacy Ratio (Form MA(BS)3) Completion Instructions Part II Capital Base
2018-03-02Revised Return of Capital Adequacy Ratio (Form MA(BS)3) and New Return of Leverage Ratio (Form MA(BS)27) Annex 2
2018-03-02Revised Return of Capital Adequacy Ratio (Form MA(BS)3) and New Return of Leverage Ratio (Form MA(BS)27) Annex 5: Revised CAR Return Part IIIb
2018-03-02Revised Return of Capital Adequacy Ratio (Form MA(BS)3) Completion Instructions Part IIIb Standardized Credit Risk Approach
2018-03-02Annex 24: New Return of Leverage Ratio (Form MA(BS)27) - Completion Instructions
2018-03-02Revised Return of Capital Adequacy Ratio (Form MA(BS)3) Completion Instructions Part IIId Securitization Exposures
2018-03-02Revised Return of Capital Adequacy Ratio Form MA(BS)3 Annex 4 Part IIIa: Risk-weighted Amount for Credit Risk BSC Approach
2018-03-02Revised Return of Capital Adequacy Ratio (Form MA(BS)3) and New Return of Leverage Ratio (Form MA(BS)27) Annex 10: Revised CAR Return Part IV Market Risk
2018-03-02Revised Return of Capital Adequacy Ratio (Form MA(BS)3) Completion Instructions Part IIIe Central Counterparties
2018-03-02Revised Return of Capital Adequacy Ratio (Form MA(BS)3) and New Return of Leverage Ratio (Form MA(BS)27) Annex 9: Revised CAR Return Part IIIf (Credit Valuation Adjustment)
2018-03-02Revised Return of Capital Adequacy Ratio (Form MA(BS)3) Completion Instructions Part IIIc IRB Approach
2018-03-02Revised Return of Capital Adequacy Ratio (Form MA(BS)3) Completion Instructions Part V Operational Risk
2018-03-02Revised Return of Capital Adequacy Ratio (Form MA(BS)3) Completion Instructions Part IV Market Risk
2018-03-02Return of Leverage Ratio (Form MA(BS)27) Template and Related Banking Returns
2018-03-02Revised Return of Capital Adequacy Ratio Form MA(BS)3 Annex 7 Revised CAR Return Template Part IIId Securitization Exposures
2018-03-02Revised Return of Capital Adequacy Ratio (Form MA(BS)3) and New Return of Leverage Ratio (Form MA(BS)27) Annex 6: Revised CAR Return Part IIIc (IRB Approach)
2018-03-02Revised Return of Capital Adequacy Ratio (Form MA(BS)3) Completion Instructions Part IIIa Basic Approach
2018-03-02Revised Return of Capital Adequacy Ratio (Form MA(BS)3) and New Return of Leverage Ratio (Form MA(BS)27) Annex 1: Revised CAR Return Template
2018-03-02Revised Return of Capital Adequacy Ratio (Form MA(BS)3) and New Return of Leverage Ratio (Form MA(BS)27) Annex 8: Revised CAR Return Part IIIe
2018-03-02Revised Return of Capital Adequacy Ratio (Form MA(BS)3) and New Return of Leverage Ratio (Form MA(BS)27) Annex 11: Revised CAR Return Template Part V Operational Risk
2018-03-02Revised Return of Capital Adequacy Ratio (Form MA(BS)3) Part IIIf – Risk-weighted Amount for CVA Completion Instructions
2018-03-02Completion Instructions for Revised Return of Capital Adequacy Ratio (Form MA(BS)3) and New Return of Leverage Ratio (Form MA(BS)27) - Annex 12
2018-03-02Revised Completion Instructions for Return of Capital Adequacy Ratio (MA(BS)3) Part II Capital Base
2018-02-28Circular on BCBS Sound Practices Implications of Fintech Developments for Banks and Bank Supervisors
2018-02-27Completion Instructions for Certificate of Compliance with the Banking Ordinance of an Authorized Institution Incorporated Outside Hong Kong
2018-02-27Certificate of Compliance with the Banking Ordinance (Form MA(BS)1F(a) and Form MA(BS)1F(b))
2018-02-27Completion Instructions for Certificate of Compliance with the Banking Ordinance (Form MA(BS)1F(a) and Form MA(BS)1F(b))
2018-02-15SFC Circular on Client Facilitation Annex 2: Thematic Review Observations and Expected Standards
2018-02-15Circular Issued by the Securities and Futures Commission on Client Facilitation
2018-02-15Circular Issued by the Securities and Futures Commission on Client Facilitation
2018-02-09SFC Report on Thematic Review of Best Execution
2018-02-09Circular Issued by the Securities and Futures Commission on Best Execution
2018-02-09Circular Issued by the Securities and Futures Commission on Best Execution
2018-02-08Key Observations and Good Practices on Distribution of Fixed Income and Structured Products
2018-02-08Distribution of Fixed Income and Structured Products
2018-02-08SFC Circular on Compliance Failures in Distribution of Fixed Income and Structured Products
2018-02-02Anti-Money Laundering and Counter-Terrorist Financing (Financial Institutions) (Amendment) Ordinance 2018
2018-02-02Banking (Amendment) Ordinance 2018
2018-01-31Anti-Money Laundering/Counter-Terrorist Financing: United Nations Sanctions
2018-01-11Return of Stable Funding Position of an Authorized Institution (MA(BS)26)
2018-01-11Completion Instructions for Return of Stable Funding Position (MA(BS)26) Annex 2
2018-01-11Return of Stable Funding Position of an Authorized Institution (MA(BS)26)
2018-01-05Enhanced disclosure requirements on sale of structured products not regulated by the Securities and Futures Ordinance
2017-12-28Enhanced Competency Framework on Retail Wealth Management
2017-12-28Guidance Note on Cooperation with the SFC
2017-12-28Enhanced Competency Framework on Retail Wealth Management
2017-12-28HKMA Guidance on Cooperation with SFC in Investigations and Enforcement Proceedings
2017-12-21Hong Kong Country Annex to the ISDA 2015 Universal Resolution Stay Protocol
2017-12-20HKFRS 9 Implementation: Revisions to Regulatory Reporting
2017-12-20Mystery Shopping Programme in respect of Account Opening by Authorized Institutions in Hong Kong
2017-12-14Finalisation of Basel III and Revised FRTB Timeline
2017-12-08Supervisory Policy Manual Module CG-6: Competence and Ethical Behaviour
2017-11-24Joint reviews by HKMA and SFC on managing conflicts of interest in financial groups
2017-11-24SFC Circular on Launch of Online Submission of Information under Section 110(1) of the SFO
2017-11-24Circular Issued by the Securities and Futures Commission on Launch of Online Submission of Information under Section 110(1) of the Securities and Futures Ordinance
2017-11-24Complaints Watch Issue No. 10
2017-11-24Complaints Watch Issue No. 10
2017-11-24Supervisory Policy Manual Revised Module IC-7 – The Sharing and Use of Commercial Credit Data through a Commercial Credit Reference Agency
2017-11-23Guide to Enhanced Competency Framework on Treasury Management
2017-11-23Enhanced Competency Framework on Treasury Management
2017-11-02Renminbi Liquidity Facility Expansion of Collateral
2017-10-31Revision of Supervisory Policy Manual Module IC-2 Internal Audit Function
2017-10-31Supervisory Policy Manual Module IC-2 Internal Audit Function
2017-10-27Guidelines for Reducing and Mitigating Hacking Risks Associated with Internet Trading
2017-10-27Security controls for Internet trading services
2017-10-16Management Accountability at Registered Institutions
2017-10-16Management Accountability at Registered Institutions Annex 1: Frequently Asked Questions
2017-10-16Management Accountability at Registered Institutions Annex 2: Appendix
2017-10-12Banking (Amendment) Bill 2017
2017-10-11On-boarding Programme for Independent Non-Executive Directors
2017-10-11Guideline on Anti-Money Laundering and Counter-Terrorist Financing – Address Verification Requirements
2017-10-11Guideline on Anti-Money Laundering and Counter-Terrorist Financing – Address Verification Requirements
2017-10-06Risk Management Framework
2017-10-06Revision of Supervisory Policy Manual Modules CG-1 and IC-1
2017-09-28CIR 20170928-1 Market Risk Management Foreign Exchange
2017-09-19SFC Circular on Common Instances of Non-Compliance in Managing Funds and Discretionary Accounts
2017-09-19SFC Circular on Common Instances of Non-Compliance in Managing Funds and Discretionary Accounts
2017-09-07Operational Incidents Watch Issue No. 8
2017-09-07Operational Incidents Watch Issue No. 8
2017-08-17Combating Financing of Weapons of Mass Destruction Activities
2017-08-02Circular Issued by the Securities and Futures Commission on Irregularities and Deficiencies in Managing Private Funds and Discretionary Accounts
2017-08-02SFC Circular on Irregularities and Deficiencies in Managing Private Funds and Discretionary Accounts
2017-07-07Code of Practice: Resolution Planning - Core Information Requirements
2017-07-07Code of Practice: The HKMA’s Approach to Resolution Planning (RA-2)
2017-07-07Financial Institutions (Resolution) Ordinance - commencement
2017-06-23Market Risk Capital Requirements: Local Implementation Timeline
2017-06-08Treat Customers Fairly Charter for Private Wealth Management Industry
2017-05-22Financial Institutions (Resolution) Ordinance - consequential amendments to Banking (Capital) Rules
2017-05-19Prudential Measures for Property Mortgage Loans
2017-05-19Complaints Watch Issue No. 9
2017-05-19Complaints Watch Issue No. 9
2017-05-05Arrangements for mandatory electronic filing of notifications and reports under Part XV of the Securities and Futures Ordinance
2017-04-27HKMA Guidance on OTC Derivative Transactions Phase 2 Reporting Preparations
2017-04-13Guidelines on Prudential Treatment of Problem Assets – Definitions of Non-performing Exposures and Forbearance
2017-04-03Basel Committee Standards – Consolidated and enhanced framework for Pillar 3 disclosure requirements
2017-03-30Implementation of Revised Pillar 3 Disclosure Requirements – Standard Disclosure Templates and Tables
2017-03-30Implementation of Revised Pillar 3 Disclosure Requirements – Standard Disclosure Templates and Tables
2017-03-02Bank Culture Reform
2017-03-02Banking (Disclosure) (Amendment) Rules 2016 and Banking (Specification of Class of Exempted Charges) (Amendment) Notice 2016
2017-02-23Guidance on Selling of Investment Products and Handling of Client Securities
2017-02-23Guidance on selling of investment products and handling of client securities
2017-02-14Clarification of sections 22.5 and 22.12 of the Code of Banking Practice
2017-01-27HKMA OTC Derivatives Trade Repository Training and Testing Schedule for Phase 2 Reporting
2017-01-12Operational Incidents Watch Issue No. 7
2017-01-12Circular on Operational Incidents Watch Issue No. 7
2017-01-03Launch of e-Alert Service by Land Registry
2016-12-30Banking (Disclosure) (Amendment) Rules 2016 and Banking (Specification of Class of Exempted Charges) (Amendment) Notice 2016