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375.0271

Guidelines & Circulars

Circulars | Guidelines
Date
Description
28 Dec 2012Supervisory Policy Manual (SPM) – CA-G-5 “Supervisory Review Process” (Revised)
28 Dec 2012United Nations (Anti-Terrorism Measures) Ordinance, United Nations Sanctions Ordinance and List of Names for Suspicious Account Reporting
20 Dec 2012Applicability of Enhanced Measures to Sale of Investment Products to Corporate Customers
20 Dec 2012Applicability of the Securities and Futures Commission (SFC)’s regulatory requirements to sale of structured products that are not regulated by the Securities and Futures Ordinance (SFO)
13 Dec 2012Implementation of Basel III
3 Dec 2012Quarterly Return of Mainland Activities
Encl. 1  Completion Instructions
Encl. 2  Return of Mainland Activities
19 Nov 2012Selling of Fixed Income Products
Encl.  Circular to Licensed Corporations and Registered Institutions : Selling of Fixed Income Products
14 Nov 2012Statements issued by Financial Action Task Force on Money Laundering
9 Nov 2012Consultation on the draft Specification of Competence Standards for Corporate & Commercial Banking
6 Nov 2012Enhanced Exception Reporting for the Code of Banking Practice
26 Oct 2012United Nations (Anti-Terrorism Measures) Ordinance and List of Names for Suspicious Account Reporting
24 Oct 2012Circular Issued by the Securities and Futures Commission (SFC) Regarding Report on the Thematic Inspection of Selling Practices of Licensed Corporations
Encl.  Circular to All Licensed Corporations SFC spots deficiencies in selling practices of licensed corporations
19 Oct 2012Implementation of Basel III
11 Oct 2012Supervisory Policy Manual (“SPM”) CA-G-3 “Use of Internal Models Approach to Calculate Market Risk” (Revised)
5 Oct 2012United Nations Sanctions Ordinance and List of Names for Suspicious Account Reporting
28 Sep 2012Revised FATF Recommendations
28 Sep 2012United Nations Sanctions Ordinance
24 Sep 2012Complaints Against Debt Collection Agents Employed by Authorized Institutions
19 Sep 2012Online Behavioural Tracking
18 Sep 2012Sale and marketing of Mandatory Provident Fund (“MPF”) schemes
Encl.  Guidelines on Conduct Requirements for Registered Intermediaries
14 Sep 2012Prudential Measures for Property Mortgage Loans
13 Sep 2012Personal Data (Privacy) (Amendment) Ordinance 2012 (“PDPAO”)
31 Aug 2012United Nations (Anti-Terrorism Measures) Ordinance, United Nations Sanctions Ordinance and List of Names for Suspicious Account Reporting
30 Aug 2012Training for Directors of Locally Incorporated Authorized Institutions
17 Aug 2012Anti-Money Laundering Seminars 2012
Encl. 1  Programme on 20 September 2012 (Thursday)
Encl. 2  Registration Form for Anti-Money Laundering Seminars 2012
Seminar material 1:  Common Deficiencies in Transaction Monitoring & Suspicious Transaction Reporting
Seminar material 2:  Suspicious Transaction Report Trends and Quality Improvement
Seminar material 3:  Politically Exposed Persons - Risks and Case Studies
Seminar material 4:  Measures for Politically Exposed Persons
14 Aug 2012Meetings with Candidates for Appointment to the Boards of Authorized Institutions or as Chief Executive or Alternative Chief Executive
3 Aug 2012Supervisory Policy Manual (SPM) CG-1 “Corporate Governance of Locally Incorporated Authorized Institutions” (Revised)
25 Jul 2012Renminbi (RMB) Liquidity Facility
25 Jul 2012Personal renminbi (RMB) business relating to non-Hong Kong residents
24 Jul 2012Statements issued by Financial Action Task Force on Money Laundering
13 Jul 2012Amendments to the Guideline on Anti-Money Laundering and Counter-Terrorist Financing
Encl.  Details of the Amendments to the Hong Kong Monetary Authority Guideline on Anti-Money Laundering and Counter-Terrorist Financing
5 Jul 2012BCBS Revised Guidance on Internal Audit Function in Bank
4 Jul 2012Investor Education on Renminbi Qualified Foreign Institutional Investor (RQFII) A-share Exchange Traded Funds (ETFs)
29 Jun 2012United Nations (Anti-Terrorism Measures) Ordinance, United Nations Sanctions Ordinance and List of Names for Suspicious Account Reporting
29 Jun 2012Guideline on Exercising Power to Impose Pecuniary Penalty
27 Jun 2012Exposure to HKMC : 80% Loan Guarantee Product under SME Financing Guarantee Scheme
18 Jun 2012Preparation for the Dual Tranche, Dual Counter (DTDC) Model of the Hong Kong Exchanges and Clearing Limited (HKEx)
14 Jun 2012Renminbi (RMB) risk management limit
14 Jun 2012Renminbi (RMB) Liquidity Facility
12 Jun 2012Selling of Investment Products to Private Banking Customers
7 Jun 2012Complaints Against Debt Collection Agents Employed by Authorized Institutions
5 Jun 2012Establishment of the Financial Dispute Resolution Centre Limited (FDRC)
29 May 2012Section 311 of the USA PATRIOT Act
25 May 2012Observations of Mystery Shopping Programme on the Code of Banking Practice
Encl.  Report of Mystery Shopping Programme for Compliance with the Code of Banking Practice
22 May 2012Renminbi (RMB) Net Open Position (NOP)
21 May 2012Licensing Condition in relation to the establishment of the Financial Dispute Resolution Centre Limited (FDRC)
9 May 2012Supervisory Policy Manual (SPM) – IC-5 “Stress-testing” (Revised)
7 May 2012"Establishment of the Bilateral Complaint Handling Process under The FSB Principles for Sound Compensation Practices and Implementation Standards"
4 May 2012United Nations Sanctions (Liberia) Regulation 2012
27 Apr 2012United Nations (Anti-Terrorism Measures) Ordinance, United Nations Sanctions Ordinance and List of Names for Suspicious Account Reporting
5 Apr 2012United Nations (Anti-Terrorism Measures) Ordinance, United Nations Sanctions Ordinance and List of Names for Suspicious Account Reporting
2 Apr 2012Renminbi (RMB) position squaring with the RMB Clearing Bank for trade-related conversions
30 Mar 2012United Nations Sanctions (Democratic Republic of the Congo) Regulation 2012
27 Mar 2012Frequently Asked Questions on Anti-Money Laundering and Counter-Terrorist Financing (Financial Institutions) Ordinance
Encl.  Frequently Asked Questions
27 Mar 2012United Nations Sanctions Ordinance and List of Names for Suspicious Account Reporting
20 Mar 2012United Nations Sanctions Ordinance
9 Mar 2012Banking (Admendment) Ordinance 2012
7 Mar 2012Statements issued by Financial Action Task Force on Money Laundering
2 Mar 2012Complaints Against Debt Collection Agents Employed by Authorized Institutions
29 Feb 2012Revised Return of Capital Adequacy Ratio – Implementation of Basel 2.5
21 Feb 2012Fund Management Activities Survey 2011 Conducted by the Securities and Futures Commission (SFC)
Encl.  Securities and Futures Commission Fund Management Activities Survey For the year ended 31 December 2011
21 Feb 2012Basel Guidance on High-cost Credit Protection
Encl.  The Basel Committee issues a statement on high cost credit protection
17 Feb 2012United Nations (Anti-Terrorism Measures) (Amendment) Bill 2012
9 Feb 2012Liquidity Ratio - Renminbi (“RMB”) transactions
27 Jan 2012Guideline on Anti-Money Laundering and Counter-Terrorist Financing
20 Jan 2012Applicability of Enhanced Measures to Sales of Investment Products to Private Banking Customers
20 Jan 2012United Nations Sanctions Ordinance and List of Names for Suspicious Account Reporting
18 Jan 2012Selling of Renminbi Qualified Foreign Institutional Investor (RQFII) Funds
17 Jan 2012Adjustments to Renminbi (RMB) Risk Management Limit and Net Open Position
13 Jan 2012Self-Assessment of Compliance with the Code of Banking Practice
5 Jan 2012Selling of Investment Products
Last revision date: 11 February 2014
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