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531.2511

Guidelines & Circulars

Circulars | Guidelines
Date
Description
24 Dec 2003Guidance Note on Taxi Financing
23 Dec 2003Annual Self-Assessment on Compliance with the Code of Banking Practice 2002/03
22 Dec 2003The Revised Return of Securities Related Activities
16 Dec 2003Insurance-Related Activities of Authorized Institutions
15 Dec 2003Specification Of Names Of Persons Designated By The Committee As Terrorists Or Terrorist Associates
11 Dec 2003Initial Public Offering ("IPO") (superseded by CR-S-4 of the Supervisory Policy Manual)
26 Nov 2003Quarterly Survey of Participation in the CCRA
19 Nov 2003The Revised Return of Securities Related Activities
14 Nov 2003Financial Action Task Force (FATF) Non-cooperative Countries and Territories (NCCTs) Counter-measures on Myanmar
13 Nov 2003List of names for suspicious account reporting – US Executive Order
11 Nov 2003Complaints against Debt Collection Agents employed by Authorized Institutions
7 Nov 2003Review of Regulatory Reporting
6 Nov 2003Supervisory Policy Manual : IC-3 "Reporting Requirements Relating to Authorized Institutions' External Auditors under the Banking Ordinance"
31 Oct 2003Survey on Impact of International Accounting Standard 39 and 32
24 Oct 2003Lists of names for suspicious account reporting – US Executive Order and Government Gazette
14 Oct 2003Suspected ATM fraud cases
8 Oct 2003Business continuity planning considerations relating to SARS
6 Oct 2003Board Resolution for Application to Become a Registered Institution (RI) under the Securities and Futures Ordinance
29 Sep 2003Model Mortgage Documents
25 Sep 2003Guidance Note on Taxi Financing
17 Sep 2003Lists of names for suspicious account reporting – US Executive Order and Government Gazette
11 Sep 2003Quarterly Survey of Participation in the CCRA
8 Sep 2003Recent Outbreak of Computer Viruses
2 Sep 2003Survey of Foreign Exchange and Derivatives Market Activity 2004
2 Sep 2003Survey of Foreign Exchange and Derivatives Market Activity 2004 – Outstanding Survey
2 Sep 2003Survey of Foreign Exchange and Derivatives Market Activity 2004 – Turnover Survey
21 Aug 2003New Publications of the Securities and Futures Commission (SFC) and the HKMA
15 Aug 2003List of names for suspicious account reporting – US Executive Order
13 Aug 2003Supplement to the Guideline on Prevention of Money Laundering
11 Aug 2003Commercial Credit Reference Agency
8 Aug 2003United Nations Security Council Resolution 1483 (2003)
6 Aug 2003Complaints against Debt Collection Agents employed by Authorized Institutions
28 Jul 2003Lists of names for suspicious account reporting - Government Gazette
17 Jul 2003United Nations Security Council Resolution 1483 (2003)
3 Jul 2003Financial Action Task Force on Money Laundering
26 Jun 2003Amendments to the Return of Securities Related Activities
24 Jun 2003Guidance Note on Taxi Financing ("GN")
24 Jun 2003Supervisory Policy Manual ("SPM") TM-G-1: General Principles for Technology Risk Management
17 Jun 2003List of names for suspicious account reporting – US Executive Order
6 Jun 2003Computer virus alert – W32/Bugbear.b@MM
6 Jun 2003Self-Assessment on Compliance with the Code of Banking Practice
30 May 2003List of names for suspicious account reporting – US Executive Order
30 May 2003Supervisory Policy Manual (SPM) Module IC-6: The Sharing and Use of Consumer Credit Data through a Credit Reference Agency
23 May 2003Lists of names for suspicious account reporting – US Executive Order and Government Gazette
19 May 2003Overseas Fraud Cases involving Fake E-mails or Websites (superseded by TM-E-1 of the Supervisory Policy Manual)
7 May 2003Complaints against Debt Collection Agents employed by Authorized Institutions
2 May 2003The impact of atypical pneumonia
25 Apr 2003Section 87 of the Companies Ordinance – Notice to Registrar of Appointment of receiver or manager, or of mortgagee taking possession
25 Apr 2003Supervisory Policy Manual IC-1: "General Risk Management Controls"
2 Apr 2003Precautionary measures relating to Atypical Pneumonia
31 Mar 2003Supplement to the Guideline on Prevention of Money Laundering
28 Mar 2003Supervisory Policy Manual (SPM) Module SB-1: Supervision of Regulated Activities of SFC-Registered Authorized Institutions Module SB-2: Leveraged Foreign Exchange Trading - Conduct of Unsolicited Calls
24 Mar 2003Executive officers of registered institutions
24 Mar 2003Lists of names for suspicious account reporting – Government Gazette
20 Mar 2003Guidance Note on Taxi Financing
14 Mar 2003Financial Action Task Force on Money Laundering (FATF) Non-cooperative Countries and Territories (NCCTs)
14 Mar 2003Supervisory Policy Manual ("SPM") CA-S-7 "Term subordinated debt and paid-up term preference shares for inclusion in supplementary capital" CA-S-8 "Perpetual subordinated debt and paid-up irredeemable cumulative preference shares for inclusion in supplementary capital"
13 Mar 2003Application for Registration by an Authorized Institution to become a Registered Institution under the Securities and Futures Ordinance
7 Mar 2003Miscellaneous provisions of the Banking (Amendment) Ordinance 2002 (BAO 2002)
7 Mar 2003Lists of names for suspicious account reporting – US Executive Order and Government Gazette
28 Feb 2003Supervisory Policy Manual (SPM) : IC-5 "Stress-testing"
27 Feb 2003New securities supervisory regime Register to be maintained by the HKMA and Specific guidance in relation to relevant individuals
25 Feb 2003List of names for suspicious account reporting – US Executive Order
25 Feb 2003Financial Action Task Force on Money Laundering (FATF) Non-cooperative Countries and Territories (NCCTs)
12 Feb 2003Complaints against Debt Collection Agents employed by Authorized Institutions
7 Feb 2003Residential mortgages in negative equity
4 Feb 2003List of names for suspicious account reporting - US Executive Order
28 Jan 2003List of names for suspicious account reporting – US Executive Order
13 Jan 2003Calls in Relation to Securities or Futures Products and Services
Last revision date: 5 December 2012
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