Hong Kong Monetary Authority

1,681 documents, newest first — showing 1,401–1,600.

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2013-06-07HKMA Circular on Tax Evasion and AML/CFT Controls
2013-04-25Supervisory Measures Following Seminars on Anti-Money Laundering
2013-04-25Supervisory Measures Following Seminars on Anti-Money Laundering Annex A
2013-04-25Supervisory Measures Following Seminars on Anti-Money Laundering Annex B
2013-04-22Enhanced Regulatory Requirements on Selling of Investment-Linked Assurance Scheme Products
2013-04-22Selling of Investment-Linked Assurance Scheme Products
2013-03-04Mystery Shopping Programme in respect of Sale of Investment and Insurance Products
2013-02-22HKMA Prudential Measures on Loan-to-Value and Debt-Servicing Ratios for Property Mortgage Loans
2013-02-22Prudential Measures for Property Mortgage Loans
2013-02-22Prudential Measures for Property Mortgage Loans
2013-02-19Revised SPM Module TA-2: Foreign Exchange Risk Management
2013-02-05Circular Issued by the Securities and Futures Commission on Guarding against Risk of Client Asset Misappropriation
2013-02-05Circular Issued by the Securities and Futures Commission on Guarding against Risk of Client Asset Misappropriation
2013-01-15Shortening of Notice Period for Renminbi Liquidity Facility
2012-12-20Applicability of Enhanced Measures to Sale of Investment Products to Corporate Customers
2012-12-20Applicability of SFC Regulatory Requirements to Sale of Non-SFO Regulated Structured Products
2012-11-06Enhanced Exception Reporting for the Code of Banking Practice
2012-10-24Circular Issued by the Securities and Futures Commission Regarding Report on the Thematic Inspection of Selling Practices of Licensed Corporations
2012-10-24SFC Circular Regarding Report on Thematic Inspection of Selling Practices of Licensed Corporations
2012-09-18Guidelines on Conduct Requirements for Registered Intermediaries
2012-09-18Sale and marketing of Mandatory Provident Fund schemes
2012-09-14Prudential Measures for Property Mortgage Loans
2012-08-30Training for Directors of Locally Incorporated Authorized Institutions
2012-08-14Meetings with Candidates for Appointment to the Boards of Authorized Institutions or as Chief Executive or Alternative Chief Executive
2012-07-25Renminbi (RMB) Liquidity Facility
2012-07-05BCBS Revised Guidance on Internal Audit Function in Banks
2012-06-27Exposure to HKMC: 80% Loan Guarantee Product under SME Financing Guarantee Scheme
2012-06-18Preparation for the Dual Tranche, Dual Counter Model of HKEx
2012-06-14Renminbi (RMB) Liquidity Facility
2012-06-12Selling of Investment Products to Private Banking Customers
2012-05-21Licensing Condition in relation to the establishment of the Financial Dispute Resolution Centre Limited (FDRC)
2012-05-07Establishment of the Bilateral Complaint Handling Process under The FSB Principles for Sound Compensation Practices and Implementation Standards
2012-02-21Basel Guidance on High-cost Credit Protection
2012-02-21Basel Guidance on High-cost Credit Protection
2012-01-20Applicability of Enhanced Measures to Sales of Investment Products to Private Banking Customers
2012-01-20Applicability of Enhanced Measures to Sales of Investment Products to Private Banking Customers
2012-01-18Selling of Renminbi Qualified Foreign Institutional Investor (RQFII) Funds
2012-01-05Selling of Investment Products
2011-12-16Trading in the Exchange Fund Bills and Notes and Institutional Government Bonds Markets
2011-11-28SFC Circular on Provision of Services for Transactions in Other Jurisdictions
2011-11-28Circular on Provision of Services to Clients for Conducting Transactions in Other Jurisdictions
2011-08-04Sound Practices for Stress-testing
2011-08-04Sound Practices for Stress-testing and Liquidity Risk Management
2011-08-04Sound Practices for Liquidity Risk Management
2011-06-17Reverse Mortgage Programme
2011-06-17Reverse Mortgage Programme Annex 2: Return Reporting
2011-06-17Reverse Mortgage Programme Annex 1: Detailed Guidance
2011-06-17Communication of Supervisory Standards to Boards of Directors
2011-06-10Prudential Measures for Property Mortgage Loans
2011-06-10Range of Methodologies for Risk and Performance Alignment of Remuneration
2011-06-10Summary of New Prudential Measures for Property Mortgage Loans
2011-06-10Prudential Measures for Property Mortgage Loans
2011-06-10Report on the Range of Methodologies for Risk and Performance Alignment of Remuneration
2011-05-24Mystery Shopping Programme Findings Annex 2 (SFC)
2011-05-24Mystery Shopping Programme Findings
2011-05-24Mystery Shopping Programme Findings
2011-05-24Mystery Shopping Programme Findings: Report on Sale of Unlisted Securities and Futures Investment Products in Hong Kong Banking Sector
2011-05-17SFC Circular on Preparation for Full Implementation of the UT Code and ILAS Code
2011-05-17SFC Circulars on Preparation for Full Implementation of the UT Code and ILAS Code
2011-05-17SFC Circular on Preparation for Full Implementation of the Code on Investment-Linked Assurance Schemes Commencing 25 June 2011
2011-05-11Circular on SFC press release - legislative amendment on structured products to take effect
2011-05-11Legislative amendment on structured products to take effect
2011-05-09Renminbi (RMB) Fiduciary Account Arrangement
2011-04-28Circular Issued by the Securities and Futures Commission Regarding Report on Sponsor Theme Inspection Findings
2011-04-28HKMA Circular on SFC Sponsor Theme Inspection Findings
2011-04-18Important Facts Statement for Currency-Linked and Interest Rate-Linked Instruments Issued by Authorized Institutions
2011-04-18Standardized Template for Interest Rate-Linked Instruments Issued by Authorized Institutions
2011-04-18Important Facts Statement for Currency-Linked and Interest Rate-Linked Instruments Issued by Authorized Institutions
2011-03-31Implementation of Positive Mortgage Data Sharing (PMDS)
2011-03-21Circular Issued by the Securities and Futures Commission Regarding Review of Readiness for Listed Renminbi Securities Business
2011-03-21Circular Issued by the Securities and Futures Commission Regarding Review of Readiness for Listed Renminbi Securities Business
2011-03-14Enhanced Regulatory Requirements on Selling of Investment-Linked Assurance Scheme Products
2011-03-14Control Measures for Selling of ILAS Products
2011-02-18Preparation for Potential Listing of Products Denominated in Renminbi (RMB)
2010-11-19Prudential Measures for Property Mortgage Loans
2010-11-02Circular Issued by the Securities and Futures Commission Regarding Monitoring of Operational Capability
2010-11-02Circular Issued by the Securities and Futures Commission Regarding Monitoring of Operational Capability
2010-10-25Representation on Non-protection of Offshore Deposits
2010-09-16Register of Authorized Institutions
2010-09-16Selling of Renminbi Deposit, Investment and Insurance Products
2010-09-08Representations on the Expiry of Full Deposit Guarantee
2010-09-03HKMA Circular Regarding SFC Guidance on Potential Listing of RMB Denominated Products
2010-09-03HKMA Guidance on Synthetic Exchange-Traded Funds and Related Products
2010-09-03Circular Issued by the Securities and Futures Commission Regarding Potential Listing of Products Denominated in Renminbi
2010-09-02Circular Issued by the Securities and Futures Commission Regarding Code of Conduct Requirements with respect to Derivative Products
2010-09-02Circular Issued by the Securities and Futures Commission Regarding Code of Conduct Requirements with respect to Derivative Products
2010-08-19Prudential Measures for Residential Mortgage Loans
2010-08-17HKMA Circular on Renminbi Interbank Bond Market Pilot Scheme
2010-08-16Marketing through Third Parties of Instalment Payment Plans involving Pre-payment for Goods or Services
2010-08-13Prudential Measures for Residential Mortgage Loans
2010-06-22Incident response and management procedures
2010-06-18Circular Issued by the Securities and Futures Commission Regarding Mystery Shopping Programme
2010-06-18Circular Issued by the Securities and Futures Commission Regarding Mystery Shopping Programme
2010-06-03Representation on the Expiry of Full Deposit Guarantee
2010-05-28HKMA Circular on SFC Circulars Regarding Compliance with New Regulatory Requirements
2010-05-28SFC Circulars on Compliance with New Regulatory Requirements for Investment Products
2010-05-28Requests for Information from Overseas Tax Authorities
2010-03-18Circular issued by the Securities and Futures Commission Regarding Information Technology Management
2010-03-18Circular issued by the Securities and Futures Commission (SFC) Regarding Information Technology Management
2010-02-11Elucidation of Supervisory Principles and Operational Arrangements Regarding Renminbi Business in Hong Kong
2010-02-08Guidance Paper on Cover Payment Messages Related to Cross-border Wire Transfers
2010-02-08Guidance Paper on Cover Payment Messages Related to Cross-border Wire Transfers
2010-01-28Account Opening for Ethnic Minorities
2010-01-15SFC Circular on Prudent Risk Management for Margin Financing and Rusal Listing Conditions
2010-01-15SFC Circular on Prudent Risk Management on Margin Financing and Compliance with Conditions Imposed on the Listing of the United Company Rusal Limited
2010-01-08Residential Mortgage Lending Annex 3: Prudential Measures For Residential Mortgage Loans
2010-01-08Residential Mortgage Lending
2010-01-08HKMA Guidance on Residential Mortgage Loans and Cash Rebates
2010-01-08Residential Mortgage Lending Annex 1: Residential Mortgage (RML)
2009-10-30Best lending practices for residential mortgage loans
2009-10-23Prudential measures for residential mortgage loans
2009-09-17HKMA Circular on Residential Mortgage Loans Pricing and Risk Management
2009-07-14Abuse and Fraud Prevention in Private Banking and Wealth Management
2009-07-14Abuse and Fraud Prevention in Private Banking and Wealth Management: Management Control and Oversight
2009-06-23Circular Issued by the Securities and Futures Commission Regarding Risk-disclosure Duties of CLN Issuers
2009-06-23Circular Issued by the Securities and Futures Commission Regarding Risk-disclosure Duties of CLN Issuers
2009-06-17HKMA Circular on Tax Evasion and Bank Secrecy
2009-06-16Preparedness for Human Swine Influenza Pandemic in Hong Kong
2009-06-02Principles for sound stress testing practices and supervision
2009-04-30Preparedness for Human Swine Influenza Pandemic in Hong Kong
2009-03-05Fair and reasonable arrangements for settling complaints related to the selling of investment products
2009-02-26Circular Regarding Self Examination of Controls and Procedures on Suitability Obligations
2009-02-26List of Registered Institutions Invited to Participate in the 2009 Self-Assessment on Compliance with HKMA Module SB-1
2009-02-26Circular Issued by the Securities and Futures Commission Regarding Self-Examination of Controls and Procedures on Suitability Obligations
2009-01-16Handling of banknotes in circulation
2009-01-09HKMA Report on Issues Concerning the Distribution of Structured Products Connected to Lehman Group Companies
2009-01-09HKMA Report on Lehman Structured Products Annex 2: Implementation Plan Requirements
2009-01-09HKMA Recommendations on Distribution of Structured Products Connected to Lehman Group Companies
2009-01-02Circular Issued by the Securities and Futures Commission on the Revised Advertising Guidelines Relating to SFC-authorised Collective Investment Schemes
2009-01-02SFC Advertising Guidelines for Collective Investment Schemes
2009-01-02Circular on Revised Advertising Guidelines for SFC-authorised Collective Investment Schemes
2008-12-17Supervisory Policy Manual RR-1: Reputation Risk Management
2008-12-17Supervisory Policy Manual RR-1: Reputation Risk Management
2008-12-10Despatch of information to investors of retail investment product
2008-11-05Access to Recordings of Telephone Conversations and Lehman Minibonds Collaterals Information
2008-09-23Circular on Investment Products Related to Lehman Brothers
2008-09-23SFC Circular on Investment Products Related to Lehman Brothers
2008-07-17Review of the Hong Kong Monetary Authority’s Work on Banking Stability
2008-07-17Review of the HKMA's Work on Banking Stability
2008-07-10Customer Data Protection
2008-05-20FSF Report on Enhancing Market and Institutional Resilience
2008-05-20Circular on Internal Controls and Risk Management Function referencing FSF Report
2008-03-20Prohibition on New Residential Mortgage Loans with Principal Repayment Holidays
2008-01-07Examinations on Controls over Information Technology (IT) Problem and System Change Management
2007-12-12Supervisory Policy Manual SR-1: Strategic Risk Management
2007-12-12Supervisory Policy Manual SPM SR-1: Strategic Risk Management
2007-10-02Supervisory Policy Manual Module IC-6: The Sharing and Use of Consumer Credit Data through a Credit Reference Agency
2007-08-22Treasury Markets Activities
2007-06-01Circular on SFC Report on Findings of Second Round of Thematic Inspection of Licensed Investment Advisers
2007-06-01SFC Report on Findings of Second Round of Thematic Inspection of Licensed Investment Advisers
2007-03-26Preventive measure against multiple applications in initial public offerings (IPOs)
2007-03-23Preventive measure against multiple applications in initial public offerings (IPOs)
2007-03-01Good Practices Adopted by Certain Registered Institutions for Investment Advisory Activities
2007-03-01Thematic Examinations on Investment Advisory Activities Annex 1: Issues Identified
2007-03-01Thematic Examinations on Investment Advisory Activities
2007-01-15Deposit Protection Scheme (Asset Maintenance) Rules
2007-01-15Deposit Protection Scheme (Asset Maintenance) Rules
2006-11-29Examinations on Controls over Customer Data Protection
2006-11-23Benchmarking of Stress-testing Practices in relation to Treasury Activities
2006-11-23Benchmarking of Stress-testing Practices in relation to Treasury Activities
2006-11-10Deposit Protection Scheme (Asset Maintenance) Rules
2006-11-10Deposit Protection Scheme (Asset Maintenance) Rules
2006-03-30Personal Renminbi (RMB) Business
2006-03-03Guidance on Retail Wealth Management Business Practices
2006-01-05Supervisory Policy Manual (SPM): CR-S-5 Credit Card Business
2006-01-05Supervisory Policy Manual CR-S-5 Credit Card Business
2005-11-28Supervisory Policy Manual SPM OR-1 Operational Risk Management
2005-11-24Preparedness for Influenza Pandemic in Hong Kong
2005-11-14HKMA Circular on Combating Money Laundering and Terrorist Financing Activities
2005-07-29Impact of the New Hong Kong Accounting Standards - Regulatory Reserve
2005-07-29Impact of the New Hong Kong Accounting Standards - Regulatory Reserve
2005-07-29Impact of the New Hong Kong Accounting Standards - Regulatory Reserve
2005-07-28Operating Arrangements for the Convertibility Undertaking
2005-06-15Review of Terms and Conditions of Banking Services other than Safe Deposit Box Service
2005-03-31SFC Press Release on Extracts and Advertisements Concerning Prospectuses under the Companies Ordinance
2005-03-29SFC press release – Extracts and Advertisements Concerning Prospectuses under the Companies Ordinance
2005-03-01Circular on the Securities and Futures Commission's Report on Selling Practices of Licensed Investment Advisers
2005-02-28HKMA Circular on Residential Mortgage Loans and Cash Rebates
2004-12-22Safeguarding customer assets and information
2004-12-17Review of Terms and Conditions for Safe Deposit Box Service
2004-11-08SFC Guidelines for Addressing Analyst Conflicts of Interest
2004-10-19HKMA Circular on Residential Mortgage Lending Compliance
2004-03-26HKMA Circular on Taxi Financing Arrangements
2003-12-16Insurance-Related Activities of Authorized Institutions Annex 2: Return of Insurance Related Activities (Form MA(BS)15)
2003-12-16Insurance-Related Activities of Authorized Institutions
2003-12-16Completion Instructions for Return of Insurance Related Activities (Form MA(BS)15)
2003-11-06Supervisory Policy Manual IC-3: Reporting Requirements for Authorized Institutions' External Auditors under the Banking Ordinance
2003-11-06Reporting Requirements Relating to Authorized Institutions’ External Auditors under the Banking Ordinance
2003-10-08Business continuity planning considerations relating to SARS
2003-06-24Supervisory Policy Manual SPM TM-G-1: General Principles for Technology Risk Management
2003-06-24General Principles for Technology Risk Management
2003-04-02Precautionary measures relating to Atypical Pneumonia
2003-02-07Residential mortgages in negative equity
2003-01-13Guidance on Restrictions for Unsolicited Calls in Relation to Securities or Futures Products and Services
2002-12-20The 70% Guideline on Residential Mortgage Lending
2002-11-14Tax Loans
2002-06-07Guidance in Detecting Terrorist Financing
2002-06-07Guidance in Detecting Terrorist Financing
2002-05-30HKMA Quarterly Return on Debt Collection Related Complaints
2002-05-30Rising number of customer complaints received by the HKMA