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531.2511

Guidelines & Circulars

Circulars | Guidelines
Date
Description
31 Dec 2010Supervisory Policy Manual (SPM) IC-1 "General Risk Management Controls"
24 Dec 2010United Nations (Anti-Terrorism Measures) Ordinance and List of Names for Suspicious Account Reporting
23 Dec 2010Renminbi (RMB) cross-border trade settlement and net open position
22 Dec 2010Selling of Accumulators
26 Nov 2010Statements issued by Financial Action Task Force on Money Laundering
24 Nov 2010Complaints Against Debt Collection Agents Employed by Authorized Institutions
19 Nov 2010Prudential Measures for Property Mortgage Loans
2 Nov 2010Circular Issued by the Securities and Futures Commission (SFC) Regarding Monitoring of Operational Capability
29 Oct 2010Anti-Money Laundering and Counter-Terrorist Financing (Financial Institutions) Bill
29 Oct 2010United Nations (Anti-Terrorism Measures) Ordinance, Cap.575
28 Oct 2010Conversion service provided by the Clearing Bank for Renminbi Trade Settlement
25 Oct 2010Liquidity Ratio - Renminbi ("RMB") transactions
25 Oct 2010Collection, Use and Transfer of Personal Data in Direct Marketing
Encl. 1  Report Published under Section 48(2) of the Personal Data (Privacy) Ordinance (Cap. 486)
Encl. 2  Guidance on the Collection and Use of Personal Data in Direct Marketing
25 Oct 2010Representation on Non-protection of Offshore Deposits
18 Oct 2010United Nations Sanctions (Eritrea) Regulation
12 Oct 2010United Nations Sanctions (Somalia) Regulation
6 Oct 2010Circular Issued by the Securities and Futures Commission (SFC) Regarding Frequently Asked Questions (FAQs) on New Conduct Requirements
28 Sep 2010United Nations (Anti-Terrorism Measures) Ordinance and List of Names for Suspicious Account Reporting
16 Sep 2010Register of Authorized Institutions
16 Sep 2010Selling of Renminbi Deposit, Investment and Insurance Products
8 Sep 2010Representations on the Expiry of Full Deposit Guarantee
7 Sep 2010Reporting of Renminbi Business Data
3 Sep 2010Transfer of Customers' Personal Data for Marketing Purposes
3 Sep 2010Synthetic Exchange-Traded Funds (ETFs) and Related Products
3 Sep 2010Circular Issued by the Securities and Futures Commission (SFC) Regarding Potential Listing of Products Denominated in Renminbi (RMB)
2 Sep 2010Circular Issued by the Securities and Futures Commission (SFC) Regarding Code of Conduct Requirements with respect to Derivative Products
20 Aug 2010Anti-Money Laundering Seminar 2010
Seminar material 1:  FATF Updates, Common AML Exam Deficiencies & AML Supplement Amendments
Seminar material 2:  Suspicious Transaction Reporting
19 Aug 2010Prudential measures for residential mortgages loans
17 Aug 2010Renminbi Interbank Bond Market in Mainland China
17 Aug 2010Complaints Against Debt Collection Agents Employed by Authorized Institutions
16 Aug 2010Marketing through Third Parties of Instalment Payment Plans involving Pre-payment for Goods or Services
16 Aug 2010Mystery Shopping Programme for Compliance with the Code of Banking Practice (the Code)
13 Aug 2010Prudential Measures for Residential Mortgage Loans
12 Aug 2010Transfer of Customer Data for Use in Marketing
2 Aug 2010Circular Issued by the Securities and Futures Commission (SFC) Regarding Important Information on Market Developments
29 Jul 2010Circular Issued by the Securities and Futures Commission (SFC) Regarding Provision of Trade Documents to Clients by Access through Intermediaries' Websites
27 Jul 2010Statements issued by Financial Action Task Force on Money Laundering
19 Jul 2010Renminbi Business in Hong Kong
16 Jul 2010Risk Management Controls over Internet Banking Account Aggregation Service
9 Jul 2010Amendments to Guideline on Prevention of Money Laundering and Supplement to the Guideline on Prevention of Money Laundering
22 Jun 2010Incident response and management procedures
18 Jun 2010Circulars Issued by the Securities and Futures Commission (SFC) Regarding Mystery Shopping Programme (MSP)
7 Jun 2010Complaints Against Debt Collection Agents Employed by Authorized Institutions
4 Jun 2010Supervisory Policy Manual (SPM) Module CA-G-5: Supervisory Review Process ("SRP") (Revised)
3 Jun 2010Representation on the Expiry of Full Deposit Guarantee
28 May 2010Circulars Issued by the Securities and Futures Commission (SFC) Regarding Compliance with a Number of New Regulatory Requirements
28 May 2010Requests for Information from Overseas Tax Authorities
20 May 2010Implementation of Pre-Investment Cooling-off Period for Retail Customers
13 May 2010United Nations Sanctions Ordinance and List of Names for Suspicious Account Reporting
6 May 2010United Nations Sanctions Ordinance
26 Apr 2010United Nations (Anti-Terrorism Measures) Ordinance and List of Names for Suspicious Account Reporting
9 Apr 2010Self-Assessment of Compliance with the Supervisory Policy Manual (SPM) CG-5 "Guideline on a Sound Remuneration System"
26 Mar 2010Statements issued by Financial Action Task Force on Money Laundering
19 Mar 2010Supervisory Policy Manual (SPM) CG-5 "Guideline on a Sound Remuneration System"
18 Mar 2010Circular issued by the Securities and Futures Commission (SFC) Regarding Information Technology Management
26 Feb 2010Complaints Against Debt Collection Agents Employed by Authorized Institutions
22 Feb 2010Fund Management Activities Survey 2009 Conducted by the Securities and Futures Commission (SFC)
11 Feb 2010Elucidation of Supervisory Principles and Operational Arrangements Regarding Renminbi Business in Hong Kong
8 Feb 2010Guidance Paper on Cover Payment Messages Related to Cross-border Wire Transfers
29 Jan 2010United Nations Sanctions (Democratic People's Republic of Korea) Regulation
28 Jan 2010Account Opening for Ethnic Minorities
22 Jan 2010United Nations (Anti-Terrorism Measures) Ordinance and List of Names for Suspicious Account Reporting
20 Jan 2010United Nations Sanctions (Democratic People's Republic of Korea) (Amendment) Regulation 2010 and List of Names for Suspicious Account Reporting
15 Jan 2010Circular issued by the Securities and Futures Commission (SFC) Regarding Prudent Risk Management on Margin Financing and Compliance with Conditions Imposed on the Listing of the United Company Rusal Limited (the Company)
8 Jan 2010Residential Mortgage Lending
4 Jan 2010Enhanced monitoring of compliance with the Code of Banking Practice
Last revision date: 5 December 2012
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