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375.0271

Guidelines & Circulars

Circulars | Guidelines
Date
Description
31 Dec 2013Quarterly Return of International Banking Statistics
27 Dec 2013United Nations (Anti-Terrorism Measures) Ordinance, United Nations Sanctions Ordinance and List of Names for Suspicious Account Reporting
20 Dec 2013Internal Ratings-based Approach : Revised Capital Floor Requirements
16 Dec 2013Guidance Paper on Transaction Screening, Transaction Monitoring and Suspicious Transaction Reporting
Encl.  Guidance Paper
10 Dec 2013Supervisory Policy Manual (SPM) CA-S-10 “Financial Instrument Fair Value Practices”
3 Dec 2013Cross-border business activities
3 Dec 2013Interim reporting requirements for OTC derivative transactions
29 Nov 2013Supervisory Policy Manual (SPM) Module IC-6 “The Sharing and Use of Consumer Credit Data through a Credit Reference Agency”
25 Nov 2013Survey of Participants in the Hong Kong Over-the-counter (OTC) Derivatives Market 2013 conducted by the Securities and Futures Commission (SFC)
1 Nov 2013Statements issued by Financial Action Task Force on Money Laundering
28 Oct 2013Treat Customers Fairly Charter
25 Oct 2013United Nations (Anti-Terrorism Measures) Ordinance, United Nations Sanctions Ordinance and List of Names for Suspicious Account Reporting
25 Oct 2013Product Key Facts Statement (KFS)
22 Oct 2013Notification requirements under Basel Core Principles 6 and 9
9 Oct 2013Complaints Against Debt Collection Agents Employed by Authorized Institutions
25 Sep 2013Supervisory Policy Manual (“SPM”) LM-2 “Sound Systems and Controls for Liquidity Risk Management” – Section 8 – Maintenance of Liquidity Cushion
17 Sep 2013Anti-Money Laundering Seminars 2013
Encl. 1  Registration Form for Anti-Money Laundering Seminars 2013
Seminar material 1:  Ensuring Effective AML/CFT Controls (Tax Evasion) (28 and 30 October)
Seminar material 2:  AML & Tax Evasion (28 October)
Seminar material 3:  Tax Evasion in Hong Kong (28 October)
Seminar material 4:  AML & Tax Evasion (30 October)
Seminar material 5:  Tax Evasion in Hong Kong (30 October)
11 Sep 2013Interim Reporting Requirements for OTC derivative transactions – Enrolment status of HKTR membership
6 Sep 2013United Nations Sanctions (Sudan) Regulation 2013
4 Sep 2013Basel III implementation - Frequently Asked Questions ("FAQs")
30 Aug 2013United Nations (Anti-Terrorism Measures) Ordinance, United Nations Sanctions Ordinance and List of Names for Suspicious Account Reporting
23 Aug 2013Interim Reporting Requirements for OTC derivative transactions
20 Aug 2013Supervisory Policy Manual (SPM) Annex B to CG-7: “Code of Conduct for Reference Banks for TMA’s CNH Hong Kong Interbank Offered Rate”
19 Aug 2013Basel III Implementation – Standard Templates for Disclosures in Relation to Regulatory Capital
Annex 1 -  Capital Disclosures Template
(Excel File, 52KB)
Annex 1 -  Capital Disclosures Template – Explanatory Note
(PDF File, 95KB)
Annex 2 -  Transition Disclosures Template
(Excel File, 58KB)
Annex 2 -  Transition Disclosures Template - Explanatory Note
(PDF File, 23KB)
Annex 3 -  Main Features Template
(Excel File, 27KB)
Annex 3 -  Main Features Template - Explanatory Note
(PDF File, 33KB)
Annex 4 -  Illustration of the 3-Step Approach to Balance Sheet Reconciliation
(PDF File, 63KB)
19 Aug 2013Foreign Account Tax Compliance Act in the U.S.
14 Aug 2013Skills and Knowledge Development for Directors of Locally Incorporated Authorized Institutions (AIs)
9 Aug 2013Product Risk Rating of High-Yield Bonds and Related Products
2 Aug 2013Interim Reporting Requirements for OTC derivative transactions
26 Jul 2013United Nations Sanctions Ordinance
25 Jul 2013Renminbi (RMB) Liquidity Facility
19 Jul 2013United Nations Sanctions Ordinance and List of Names for Suspicious Account Reporting
16 Jul 2013Investment-Linked Assurance Schemes (ILAS)
12 Jul 2013United Nations Sanctions (Côte d’Ivoire) Regulation 2013
28 Jun 2013Interim reporting requirements for OTC derivative transactions
28 Jun 2013United Nations (Anti-Terrorism Measures) Ordinance, United Nations Sanctions Ordinance and List of Names for Suspicious Account Reporting
27 Jun 2013Statements issued by Financial Action Task Force on Money Laundering
24 Jun 2013Implementation of Basel III: Revision of Capital Adequacy Ratio Return
14 Jun 2013United Nations Sanctions (Iran) (Amendment) Regulation 2013
7 Jun 2013Tax Evasion
24 May 2013Implementation of Basel III
8 May 2013BCBS Guidance on Monitoring Tools for Intraday Liquidity Management
29 Apr 2013Supervisory Policy Manual (SPM) CG-7 “Code of Conduct for Benchmark Submitters”
26 Apr 2013United Nations (Anti-Terrorism Measures) Ordinance and United Nations Sanctions Ordinance
25 Apr 2013Renminbi (RMB) Net Open Position (NOP) and liquidity ratio
25 Apr 2013Supervisory Measures following Seminars on Anti-Money Laundering
Annex A -  Seminar materials for 12 April 2013
Annex B -  Seminar materials for 22 and 23 April 2013
22 Apr 2013Selling of investment-linked assurance scheme (ILAS) products
19 Apr 2013United Nations Sanctions Ordinance and List of Names for Suspicious Account Reporting
17 Apr 2013United Nations Sanctions (Democratic People’s Republic of Korea) (Amendment) Regulation 2013
12 Apr 2013Implementation of Basel III
10 Apr 2013Implementation of Basel III: Revision of Capital Adequacy Ratio Return
5 Apr 2013Combating Financing of Weapons of Mass Destruction Activities
22 Mar 2013United Nations Sanctions Ordinance
21 Mar 2013Statements issued by Financial Action Task Force on Money Laundering
15 Mar 2013United Nations Sanctions Ordinance
4 Mar 2013Mystery Shopping Programme (MSP) in respect of Sale of Investment and Insurance Products
22 Feb 2013Prudential Measures for Property Mortgage Loans
22 Feb 2013United Nations (Anti-Terrorism Measures) Ordinance, United Nations Sanctions Ordinance and List of Names for Suspicious Account Reporting
21 Feb 2013Fund Management Activities Survey 2012 Conducted by the Securities and Futures Commission (SFC)
Encl.  Securities and Futures Commission Fund Management Activities Survey For the year ended 31 December 2012
19 Feb 2013BCBS Revised Supervisory Guidance for Managing Risks Associated with the Settlement of Foreign Exchange Transactions
5 Feb 2013Circular Issued by the Securities and Futures Commission (SFC) on Guarding against Risk of Client Asset Misappropriation
1 Feb 2013United Nations Sanctions Ordinance and List of Names for Suspicious Account Reporting
31 Jan 2013Complaints Against Debt Collection Agents Employed by Authorized Institutions
17 Jan 2013Basel III: Revisions to Liquidity Coverage Ratio (LCR)
15 Jan 2013Renminbi (RMB) net open position (NOP)
15 Jan 2013Renminbi (RMB) Liquidity Facility
11 Jan 2013Self-Assessment of Compliance with the Code of Banking Practice
2 Jan 2013Complaints Against Debt Collection Agents Employed by Authorized Institutions
Last revision date: 31 December 2013
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