Hong Kong Monetary Authority

1,681 documents, newest first — showing 1,201–1,400.

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2016-12-28Update of Requirement Following the Circulars Issued by the SFC in relation to Suitability Obligations
2016-12-21Cybersecurity Fortification Initiative
2016-12-19Enhanced Competency Framework on Cybersecurity
2016-12-14Empowerment of Independent Non-Executive Directors in the Banking Industry in Hong Kong
2016-12-14Empowerment of Independent Non-Executive Directors in the Banking Industry in Hong Kong
2016-12-13Enhanced Competency Framework on Anti-Money Laundering and Counter-Terrorist Financing
2016-12-13Guide to Enhanced Competency Framework on Anti-Money Laundering and Counter-Terrorist Financing
2016-12-09Complaints Watch Issue No. 8
2016-12-09Complaints Watch Issue No. 8
2016-12-06Implementation of margin and risk-mitigation standards for non-centrally cleared OTC derivatives
2016-11-30Measures to Enhance Customer Protection and Address Reputation Risks in Loan Applications
2016-11-30Engagement of Intermediaries by Authorized Institutions
2016-11-30Feedback from Recent Reviews by Authorized Institutions on Customer Data Protection
2016-11-25Sound Systems and Controls for Liquidity Risk Management
2016-11-25Supervisory Policy Manual SPM LM-2 Sound Systems and Controls for Liquidity Risk Management
2016-11-18Adjustment of Maximum Transaction Limit for Small-Value Internet Banking Payments
2016-11-18Guideline on Approval and Revocation of Approval of Money Brokers
2016-11-08Completion Instructions for Liquidity Stress-testing Return MA(BS)18
2016-11-08Revisions to Returns MA(BS)1E, MA(BS)18 and MA(BS)23
2016-11-08Completion Instructions for Return of Liquidity Position Form MA(BS)1E
2016-11-08Returns MA(BS)1E, MA(BS)18 and MA(BS)23
2016-11-08Completion Instructions for Return on Liquidity Monitoring Tools (Form MA(BS)23)
2016-11-08Returns MA(BS)1E, MA(BS)18 and MA(BS)23
2016-11-08Return on Selected Data for Liquidity Stress-Testing
2016-10-26Credit Risk Management - Property Mortgage Lending
2016-10-18TLAC Holdings Standard
2016-09-30Guideline on Exercising Disciplinary Power to Order a Pecuniary Penalty under Section 203C(1) of the Securities and Futures Ordinance
2016-09-30Guideline on Exercising Disciplinary Power to Order a Pecuniary Penalty under Section 203C(1) of the Securities and Futures Ordinance in respect of the OTC Derivatives Regime
2016-09-09Development Programme for Independent Non-Executive Directors
2016-09-08De-risking and Financial Inclusion
2016-09-06Fintech Supervisory Sandbox (FSS)
2016-09-01Frequently Asked Questions on the Implementation and Operation of the Mandatory Clearing Regime
2016-09-01Securities and Futures (OTC Derivative Transactions – Clearing and Record Keeping Obligations and Designation of Central Counterparties) Rules
2016-08-31Operational Incidents Watch Issue No. 6
2016-08-31Operational Incidents Watch Issue No. 6
2016-07-15HKMA Guidance on Treating HKMC 80% Loan Guarantee as Secured Exposure
2016-07-08Complaints Watch Issue No. 7
2016-07-08Complaints Watch Issue No. 7
2016-07-07Return on Liquidity Monitoring Tools (Form MA(BS)23)
2016-06-30Supervisory Policy Manual SPM CR-G-12 Credit Risk Transfer Activities
2016-06-30Supervisory Policy Manual CR-G-12 Credit Risk Transfer Activities
2016-06-24Lifting of Restrictions on Melli Bank Plc under the Banking Ordinance
2016-06-01Renminbi Liquidity Facility Expansion of Collateral
2016-05-24Cybersecurity Fortification Initiative
2016-04-28Basel Committee – Interest Rate Risk in the Banking Book
2016-04-13Frequently asked questions on the Basel III leverage ratio framework
2016-04-08Feedback from recent reviews of the selling of investment products
2016-04-08Feedback from Recent Reviews of the Selling of Investment Products
2016-04-05Refinement of the Renminbi Liquidity Facility
2016-04-01Circular Issued by the Securities and Futures Commission on Distribution of Bonds Listed under Chapter 37 of the Main Board Listing Rules and Local Unlisted Private Placement Bonds
2016-04-01SFC Circular on Distribution of Chapter 37 Bonds and Local Unlisted Private Placement Bonds
2016-03-18Combating Financing of Weapons of Mass Destruction Activities
2016-03-16Operational Incidents Watch Issue No. 5
2016-03-16Operational Incidents Watch Issue No. 5
2016-03-04Return of Quarterly Reporting on the Countercyclical Capital Buffer (Form MA(BS)25) and Revised Return on Capital Adequacy Ratio (Form MA(BS)3)
2016-02-24Complaints Watch Issue No. 6
2016-02-24Complaints Watch Issue No. 6
2016-02-19Basel Committee on Banking Supervision Revised the General Guide to Account Opening
2016-02-15SFC Circular on Protecting Client Assets Against Internal Misconduct Annex 2: List of Possible Red Flags, Pitfalls and Vulnerabilities
2016-02-15SFC Circular on Protecting Client Assets Against Internal Misconduct
2016-02-15SFC Circular on Protecting Client Assets Against Internal Misconduct
2016-02-15SFC Circular on Protecting Client Assets Against Internal Misconduct
2016-01-19Revised Framework for Market Risk Capital Requirements
2016-01-06Return on Liquidity Monitoring Tools (Form MA(BS)23)
2015-12-24General Consent under Section 97(1) of the Banking Ordinance Regarding Use of Bank Names
2015-12-23BCBS Guidance on Credit Risk and Accounting for Expected Credit Losses
2015-12-18Enhanced Competency Framework for Banking Practitioners
2015-12-04Guide to Authorization Annex 1: Sample Letter of Comfort
2015-12-04Return of Quarterly Reporting on the Countercyclical Capital Buffer (Form MA(BS)25) and Revised Return on Capital Adequacy Ratio (Form MA(BS)3)
2015-11-30Operational Incidents Watch Issue No. 4
2015-11-30Operational Incidents Watch Issue No. 4
2015-10-23Implementation of Enhanced Competency Framework for Private Wealth Management Practitioners
2015-10-08Complaints Watch Issue No. 5
2015-10-08Complaints Watch Issue No. 5
2015-09-25Return of Liquidity Monitoring Tools (Form MA(BS)23) Completion Instructions
2015-09-25Return of Liquidity Monitoring Tools (Form MA(BS)23)
2015-09-25Return of Liquidity Monitoring Tools (Form MA(BS)23)
2015-09-25Supervisory Policy Manual CA-B-3: Countercyclical Capital Buffer Geographic Allocation of Private Sector Credit Exposures
2015-09-07Reporting of OTC derivative transactions
2015-09-04Intraday and Overnight Repo under the Renminbi Liquidity Facility – Replacement of existing tripartite arrangement by a bilateral arrangement
2015-08-24Practice note on credit risk management for loans to the corporate sector
2015-08-07Engagement of Intermediaries and Sales Agents by Authorized Institutions
2015-08-04Selling of Life Insurance Products
2015-07-28Criteria for identifying simple, transparent and comparable securitisations
2015-07-28HKMA Guidance on Bogus Voice Message Phone Calls
2015-07-20Frequently asked questions on the Basel III leverage ratio framework
2015-07-14BCBS Revised Guidance on Corporate Governance Principles for Banks
2015-07-10Securities and Futures (OTC Derivative Transactions – Reporting and Record Keeping Obligations) Rules
2015-07-10Frequently Asked Questions on the Securities and Futures (OTC Derivative Transactions – Reporting and Record Keeping Obligations) Rules
2015-06-30Operational Incidents Watch Issue No. 3
2015-06-30Operational Incidents Watch Issue No. 3
2015-06-24Return on Large Exposures (Form MA(BS)1D) and Return on Intraday Liquidity Position (Form MA(BS)22)
2015-06-23Extension of Operating Hours of Intraday Repo under the Renminbi Liquidity Facility
2015-06-16Return on Intraday Liquidity Position of an Authorized Institution (Form MA(BS)22)
2015-06-16Completion Instructions for Return on Intraday Liquidity Position of an Authorized Institution Form MA(BS)22
2015-06-16Return on Intraday Liquidity Position of an Authorized Institution (Form MA(BS)22)
2015-06-02NGO Fund Raising Activities
2015-05-28Complaints Watch Issue No. 4
2015-05-28Complaints Watch Issue No. 4
2015-05-18Return of Information for Assessment of Systemically Important Authorized Institutions (Form MA(BS)24)
2015-05-13SFC Circular on Know Your Client and Account Opening Procedures
2015-05-13SFC Circular on Know Your Client and Account Opening Procedures
2015-04-30Revised Return of Large Exposures (Form MA(BS)1D) Annex 1: Completion Instructions
2015-04-30Revised Return of Large Exposures (Form MA(BS)1D) and Annex 3 Summary of Changes
2015-04-30Revised Return of Large Exposures (Form MA(BS)1D)
2015-04-30Revised Return of Large Exposures (Form MA(BS)1D) Annex 2
2015-04-13Return of Information for Assessment of Systemically Important Authorized Institutions (Form MA(BS)24)
2015-04-13Return of Information for Assessment of Systemically Important Authorized Institutions (Form MA(BS)24)
2015-04-13Return of Information for Assessment of Systemically Important Authorized Institutions (Form MA(BS)24)
2015-03-31Guidance Paper on Anti-Money Laundering Controls Over Tax Evasion
2015-03-31Guidance Paper on Anti-Money Laundering Controls Over Tax Evasion
2015-03-27Practice note on credit risk management for loans to the corporate sector
2015-03-27Practice Note on Credit Risk Management for Loans to the Corporate Sector
2015-03-17Revised Certificate of Compliance with the Banking Ordinance Submission via STET
2015-03-02HKMA Guidance on Macroprudential Requirements for Mortgage Financing
2015-02-27Prudential Measures for Property Mortgage Loans
2015-02-26Refinement of the Renminbi Liquidity Facility
2015-02-25Operational Incidents Watch Issue No. 2
2015-02-25Operational Incidents Watch Issue No. 2
2015-02-04Return of Liquidity Position of an Authorized Institution (Form MA(BS)1E)
2015-02-02Basel Committee Standards – Revised Pillar 3 disclosure requirements
2015-01-23Complaints Watch Issue No. 3
2015-01-23Complaints Watch Issue No. 3
2015-01-19Compliance with existing prudential measures on property mortgage lending
2015-01-06Selling of Investment Products
2014-12-31Implementation guidance on Banking (Capital) Rules and Banking (Disclosure) Rules
2014-12-31Implementation Guidance on Banking Capital and Disclosure Rules Annex 1 Questions and Answers
2014-12-31Implementation Guidance on Banking Capital and Disclosure Rules Annex 2
2014-12-30HKMA AML/CFT Web Page and Revised Approach to Inform AIs of UN Sanctions Updates
2014-12-24Return of Liquidity Position and Certificate of Compliance with the Banking Ordinance for Authorized Institutions
2014-12-24Completion Instructions for Certificate of Compliance with the Banking Ordinance and Return of Liquidity Position
2014-12-24Return of Liquidity Position and Certificate of Compliance with the Banking Ordinance for Authorized Institutions
2014-12-24Revised Return of Liquidity Position and Certificate of Compliance with the Banking Ordinance
2014-12-24Completion Instructions for Return of Liquidity Position of an Authorized Institution (Form MA(BS)1E)
2014-12-24Completion Instructions for Certificate of Compliance with the Banking Ordinance for Authorized Institutions Incorporated Outside Hong Kong
2014-12-24Return of Liquidity Position and Certificate of Compliance with the Banking Ordinance for Authorized Institutions
2014-12-19Banking (Liquidity Coverage Ratio – Calculation of Total Net Cash Outflows) Code
2014-12-19HKMA Guidance on FATF Risk-Based Approach for Banking Sector and ML/TF Risk Assessment
2014-12-18Banking Services for Ethnic Minorities
2014-12-17Expected Standards for AIs Implementing IFS Requirements for ILAS Products
2014-12-17Disclosure of Remuneration Receivable in respect of Sale of Investment-Linked Assurance Scheme Products
2014-12-08Practices Expected of Authorized Institutions in Selling Non-Linked Long Term Insurance Products
2014-12-08Mystery Shopping Programme Findings
2014-12-08HKMA Mystery Shopping Programme Findings on Sale of Investment and Insurance Products
2014-12-08Practices Expected of Authorized Institutions in Selling Non-Linked Long Term Insurance Products
2014-11-28Stable Funding Requirement Annex 1: Comparison between the existing SFR regime and the refined SFR regime
2014-11-28Stable Funding Requirement
2014-11-28Stable Funding Requirement Annex 2: Illustrations of SFR Calculation Based on the Refined Regime
2014-11-28Stable Funding Requirement Annex 3: SFR Quarterly Reporting Template
2014-11-28Refinements to the Stable Funding Requirement
2014-11-28Stable Funding Requirement
2014-11-27Refinement of Overnight Repo under the Renminbi Liquidity Facility
2014-11-13Foreign Account Tax Compliance Act in the US
2014-11-12Removal of Limits on RMB Currency Conversions with Hong Kong Residents
2014-11-05Implementation of Quarterly Return of International Banking Statistics
2014-11-03Introduction of Intraday Repo under the Renminbi Liquidity Facility
2014-10-14Customer Data Protection
2014-10-14Customer Data Protection: Annex on Controls for Preventing and Detecting Data Loss or Leakage
2014-09-19Circular on Internal Controls and Operational Incidents Watch
2014-09-19Operational Incidents Watch
2014-09-17Complaints Watch
2014-09-17Complaints Watch Issue No. 2
2014-08-20Engagement of External Business Referral Service Providers
2014-08-12Disruptions of critical banking services
2014-07-30Issues and Good Practices in Relation to the Sale of Investment Products
2014-07-30Issues and good practices in relation to the sale of investment products
2014-07-04HKMA Circular on FATF Statements Regarding High-Risk Jurisdictions
2014-06-24Enhanced Competency Framework for Private Wealth Management Practitioners
2014-06-20Advisory Notice issued by Financial Stability Board
2014-06-05Control measures for guarding against some recent fraud cases
2014-05-09Complaints Watch Issue No. 1
2014-05-09Complaints Watch Issue No. 1
2014-04-24Basel Committee New Large Exposures Framework
2014-04-16Issuance and implementation of a final standard for the capital treatment of bank exposures to central counterparties
2014-04-10Implementation of new standardised approach for measuring counterparty credit risk exposures
2014-04-02Simplified Reporting of Renminbi Statistics Annex 2: Completion Instructions
2014-04-02Simplified reporting of renminbi (RMB) statistics
2014-04-02Return of Renminbi (RMB) Business Activities
2014-03-28Treat Customers Fairly Charter Annex: Examples of Implementation Measures
2014-03-25Circular Issued by the Securities and Futures Commission on Selling of Complex Bonds and High-Yield Bonds
2014-03-25Circular Issued by the Securities and Futures Commission on Selling of Complex Bonds and High-Yield Bonds
2014-02-14Supervisory Policy Manual Module IC-6: The Sharing and Use of Consumer Credit Data through a Credit Reference Agency
2014-02-10Basel Committee on Banking Supervision's Paper on Sound management of risks related to money laundering and financing of terrorism
2014-02-07BCBS Guidance on A Sound Capital Planning Process
2014-01-14Risk Management of Personal Lending Business
2013-12-20Internal Ratings-based Approach: Revised Capital Floor Requirements
2013-12-10Supervisory Policy Manual CA-S-10 Financial Instrument Fair Value Practices
2013-12-03Internal Controls - Compliance Function and Insurance and Securities Products in Wealth Management
2013-11-29Supervisory Policy Manual Module IC-6: Sharing and Use of Consumer Credit Data through Credit Reference Agencies
2013-10-28Treat Customers Fairly Charter
2013-10-28Treat Customers Fairly Charter
2013-10-22Notification requirements under Basel Core Principles 6 and 9
2013-09-30Recognition of External Credit Assessment Institutions (Revised)
2013-09-25HKMA Supervisory Policy Manual LM-2 Section 8 Maintenance of Liquidity Cushion
2013-09-04Basel III Implementation FAQs: Capital Treatment of Exposures to Counterparty Credit Risk and Central Counterparties
2013-09-04Basel III Implementation - Frequently Asked Questions on Capital Treatment of Exposures to Counterparty Credit Risk and Central Counterparties
2013-08-19Foreign Account Tax Compliance Act in the U.S.
2013-08-14Skills and Knowledge Development for Directors of Locally Incorporated Authorized Institutions
2013-08-09Product Risk Rating of High-Yield Bonds and Related Products
2013-07-25Enhancements to the Renminbi (RMB) Liquidity Facility