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375.0271

Guidelines & Circulars

Circulars | Guidelines
Date
Description
30 Dec 2011Workshops on the Guideline for Anti-Money Laundering and Counter-Terrorist Financing (Financial Institutions) Ordinance
30 Dec 2011Supervisory Policy Manual (SPM) CA-S-10 “Financial Instrument Fair Value Practices”
23 Dec 2011United Nations Sanctions Ordinance, United Nations (Anti-Terrorism Measures) Ordinance and List of Names for Suspicious Account Reporting
16 Dec 2011Trading in the Exchange Fund Bills and Notes / Institutional Government Bonds Markets
8 Dec 2011Banking (Amendment) Bill 2011
29 Nov 2011Section 311 of the USA PATRIOT Act
28 Nov 2011Provision of Services to Clients for Conducting Transactions in Other Jurisdictions
Encl.  All Licensed Corporations Provision of services to clients for conducting transactions in other jurisdictions
24 Nov 2011Implementation of Enhancements to Basel II
23 Nov 2011Disclosure on remuneration
Encl.  Detailed guidance on remuneration disclosure
21 Nov 2011Statements issued by Financial Action Task Force on Money Laundering
21 Nov 2011Complaints Against Debt Collection Agents (DCAs) employed by Authorized Institutions
14 Nov 2011Updating of Guide to Authorization and Guideline No. 1.5 – Guideline on minimum criteria for authorization
8 Nov 2011Renminbi (RMB) business – Requirements on position squaring with the RMB Clearing Bank
31 Oct 2011Rationale for Selling of Accumulators
21 Oct 2011Implementation of Enhancements to Basel II
19 Oct 2011Anti-Money Laundering Seminar 2011
Seminar material 1:  Common AML Deficiencies Identified during On-Site Examinations
Seminar material 2:  Joint Financial Intelligence Unit
Seminar material 3:  Managing the Risk of Law Enforcement Requests and Court Orders
14 Oct 2011United Nations (Anti-Terrorism Measures) Ordinance and List of Names for Suspicious Account Reporting
10 Oct 2011Circular issued by the Securities and Futures Commission (SFC) regarding new investor publications available for distribution
Encl.  Circular to Licensed Corporations New investor publications are now available for distribution
23 Sep 2011Complaints Against Debt Collection Agents Employed by Authorized Institutions
2 Sep 2011Supervisory Policy Manual (SPM) Revised Module IC-6 – The Sharing and Use of Consumer Credit Data through a Credit Reference Agency (CRA)
4 Aug 2011Benchmarking: Stress-testing Practices and Liquidity Risk Management
Encl. 1  Annex 1 - Sound Practices for Stress-testing
Encl. 2  Annex 2 - Sound Practices for Liquidity Risk Management
2 Aug 2011Statements issued by Financial Action Task Force on Money Laundering
28 Jul 2011Renminbi (RMB) business – position squaring with the Clearing Bank and net open position
15 Jul 2011United Nations Sanctions Ordinance
11 Jul 2011Supervisory Policy Manual (SPM) CG-6 “Competence and Ethical Behaviour”
8 Jul 2011United Nations (Anti-Terrorism Measures) Ordinance and List of Names for Suspicious Account Reporting
8 Jul 2011Anti-Money Laundering and Counter-Terrorist Financing (Financial Institutions) Ordinance
4 Jul 2011United Nations Sanctions Ordinance
24 Jun 2011Collection, Use and Transfer of Personal Data for Marketing Purposes
17 Jun 2011Reverse Mortgage Programme
Encl. 1  Annex 1 - Detailed Guidance relating to Reverse Mortgage Programme
Encl. 2  Annex 2 - Return Reporting relating to Reverse Mortgage Programme
17 Jun 2011Circular Issued by the Securities and Futures Commission (SFC) Regarding Potential Tax Obligations in Overseas Investments
Encl.  Circular to Licensed Corporations Investors likely to face tax obligations in overseas investments
17 Jun 2011Communication of Supervisory Standards to Boards of Directors
10 Jun 2011Prudential Measures for Property Mortgage Loans
Encl. 1  Annex 1 - Prudential Measures for Property Mortgage Loans
Encl. 2  Annex 2 - Summary of New Prudential Measures for Property Mortgage Loans
10 Jun 2011Report on the Range of Methodologies for Risk and Performance Alignment of Remuneration
Encl.  BCBS Report - Range of Methodologies for Risk and Performance Alignment of Remuneration
9 Jun 2011Complaints Against Debt Collection Agents Employed by Authorized Institutions
1 Jun 2011Strengthening Security Controls for Automatic Teller Machine (ATM) Services
24 May 2011Mystery Shopping Programme ("MSP") Findings
Encl. 1  Annex 1 - Mystery Shopping Programme Findings (HKMA)
Encl. 2  Annex 2 - Mystery Shopping Programme Findings (SFC)
17 May 2011Circulars Issued by the Securities and Futures Commission ("SFC") Regarding Preparation for the full implementation of the Code on Unit Trusts and Mutual Funds ("UT Code") and the Code on Investment-Linked Assurance Schemes ("ILAS Code")
Encl. 1  Preparation for the full implementation of the Code on Unit Trusts and Mutual Funds ("UT Code") commencing 25 June 2011
Encl. 2  Preparation for the full implementation of the Code on Investment-Linked Assurance Schemes ("ILAS Code") commencing 25 June 2011
11 May 2011Circular on SFC press release - legislative amendment on structured products to take effect
Encl.  Legislative amendment on structured products to take effect
9 May 2011Renminbi (RMB) Fiduciary Account Arrangement
5 May 2011United Nations Sanctions Ordinance
28 Apr 2011Circular Issued by the Securities and Futures Commission (SFC) Regarding Report on Sponsor Theme Inspection Findings
Encl.  Report on Sponsor Theme Inspection Findings
18 Apr 2011Important Facts Statement (IFS) for Currency-Linked Instruments and Interest Rate-Linked Instruments Issued by Authorized Institutions (AIs) (“ILCL instruments”)
15 Apr 2011Statements issued by Financial Action Task Force on Money Laundering
11 Apr 2011Credit Growth
8 Apr 2011United Nations (Anti-Terrorism Measures) Ordinance
6 Apr 2011Streamlined sales process for investment products
1 Apr 2011Supervisory Policy Manual (SPM) – LM-1 “Liquidity Risk Management” (Revised) and LM-2 “Sound Systems and Controls for Liquidity Risk Management”
1 Apr 2011United Nations Sanctions Ordinance and List of Names for Suspicious Account Reporting
31 Mar 2011Renminbi (RMB) Fiduciary Account
31 Mar 2011Implementation of Positive Mortgage Data Sharing (“PMDS”)
29 Mar 2011Circular Issued by the Securities and Futures Commission (SFC) Regarding Investor Education on Initial Public Offering (IPO) and Trading of Listed Renminbi (RMB) Securities
25 Mar 2011United Nations Sanctions Ordinance
21 Mar 2011Circular Issued by the Securities and Futures Commission (SFC) Regarding Review of Readiness for Listed Renminbi (RMB) Securities Business
14 Mar 2011Enhanced Regulatory Requirements on Selling of Investment-Linked Assurance Scheme (ILAS) Products
1 Mar 2011Complaints Against Debt Collection Agents Employed by Authorized Institutions
21 Feb 2011Fund Management Activities Survey 2010 Conducted by the Securities and Futures Commission (SFC)
Encl.  Fund Management Activities Survey
18 Feb 2011Preparation for Potential Listing of Products Denominated in Renminbi (RMB)
28 Jan 2011United Nations Sanctions (Côte d’Ivoire) Regulation 2011 and List of Names for Suspicious Account Reporting
26 Jan 2011Implementation of Basel III in Hong Kong
20 Jan 2011United Nations Sanctions Ordinance
13 Jan 2011Self-Assessment of Compliance with the Code of Banking Practice
3 Jan 2011United Nations (Anti-Terrorism Measures) Ordinance, Cap.575
Last revision date: 10 December 2012
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