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375.0271

Guidelines & Circulars

Circulars | Guidelines
Date
Description
31 Dec 2014Implementation guidance on Banking (Capital) Rules and Banking (Disclosure) Rules
30 Dec 2014AML/CFT web page and revised approach to inform AIs of updates to the United Nations (Anti-Terrorism Measures) Ordinance and United Nations Sanctions Ordinance
24 Dec 2014Return of Liquidity Position of an Authorized Institution (Form MA(BS)1E) and Certificate of Compliance with the Banking Ordinance (Forms M(BS)1F(a) and M(BS)1F(b))
24 Dec 2014United Nations (Anti-Terrorism Measures) Ordinance, United Nations Sanctions Ordinance and List of Names for Suspicious Account Reporting
24 Dec 2014Implementation of Basel III
19 Dec 2014FATF Risk-Based Approach Guidance for the Banking Sector and Money Laundering and Terrorist Financing Risk Assessment
18 Dec 2014Banking Services for Ethnic Minorities
17 Dec 2014Disclosure of Remuneration Receivable in respect of Sale of Investment-Linked Assurance Scheme (“ILAS”) Products
17 Dec 2014Basel Capital Framework - Revisions to the Securitisation Framework
12 Dec 2014United Nations Sanctions Ordinance and List of Names for Suspicious Account Reporting
8 Dec 2014Mystery Shopping Programme (MSP) Findings
8 Dec 2014Selling of Non-Linked Long Term Insurance (“NLTI”) Products
8 Dec 2014Introduction of Hong Kong dollar Discount Facility for Hong Kong Government Bonds
28 Nov 2014Stable Funding Requirement
Annex 1:  Comparision between the existing and refined SFR
Annex 2:  Illustrations of SFR calculation based on the refined regime
Annex 3:  SFR quarterly reporting template
  Reference Note 1
  Reference Note 2
28 Nov 2014United Nations Sanctions (Libya) Regulation 2011 (Amendment) Regulation 2014
27 Nov 2014Refinement of Overnight Repo under the Renminbi Liquidity Facility
27 Nov 2014Implementation of Basel III
13 Nov 2014Foreign Account Tax Compliance Act in the US
12 Nov 2014Renminbi (RMB) Business
5 Nov 2014Implementation of Quarterly Return of International Banking Statistics (formerly, Return of External Positions)
3 Nov 2014Introduction of Intraday Repo under the Renminbi Liquidity Facility
31 Oct 2014Statements issued by Financial Action Task Force on Money Laundering and the Asia/Pacific Group on Money Laundering
31 Oct 2014United Nations (Anti-Terrorism Measures) Ordinance, United Nations Sanctions Ordinance and List of Names for Suspicious Account Reporting
24 Oct 2014Implementation of Basel III
14 Oct 2014Customer Data Protection
10 Oct 2014United Nations Sanctions Ordinance and List of Names for Suspicious Account Reporting
26 Sep 2014United Nations Sanctions Ordinance
19 Sep 2014Operational Incidents Watch
17 Sep 2014Complaints Watch
15 Sep 2014Implementation of Basel III – Quarterly Template for Reporting of Leverage Ratio (“Quarterly Template”)
29 Aug 2014United Nations (Anti-Terrorism Measures) Ordinance, United Nations Sanctions Ordinance and List of Names for Suspicious Account Reporting
29 Aug 2014Complaints Against Debt Collection Agents Employed by Authorized Institutions
20 Aug 2014Engagement of External Business Referral Service Providers
13 Aug 2014Anti-Money Laundering Seminars 2014
Seminar material 1:  Recent Regulatory Developments on AML/CFT
Seminar material 2:  Banking Sector Feedback - Suspicious Transaction Reports
Seminar material 3:  Trade-based AML Controls
12 Aug 2014Disruptions of critical banking services
30 Jul 2014Issues and good practices in relation to the sale of investment products
11 Jul 2014United Nations Sanctions Ordinance and List of Names for Suspicious Account Reporting
4 Jul 2014United Nations (Anti-Terrorism Measures) Ordinance, United Nations Sanctions Ordinance and List of Names for Suspicious Account Reporting
4 Jul 2014Statements issued by Financial Action Task Force on Money Laundering
24 Jun 2014Enhanced Competency Framework for Private Wealth Management (“PWM”) Practitioners (“ECF”)
Encl.  Enhanced Competency Framework for Private Wealth Management Practitioners
20 Jun 2014Advisory Notice issued by Financial Stability Board
20 Jun 2014New Supervisory Policy Manual (SPM) RE-1 "Recovery Planning"
5 Jun 2014Control measures for guarding against some recent fraud cases
19 May 2014Implementation of Basel III – Quarterly Template for Reporting of Leverage Ratio
Encl. 1  Leverage Ratio Template
Encl. 2  Leverage Ratio Completion Instructions
附件  Leverage Ratio Framework
16 May 2014United Nations Sanctions (Yemen) Regulation
9 May 2014Complaints Watch
2 May 2014Anti-Money Laundering Seminars
Seminar material 1:  AML Update - Strengthening Controls
Seminar material 2:  AML/CFT Obligations
2 May 2014United Nations (Anti-Terrorism Measures) Ordinance and United Nations Sanctions Ordinance
30 Apr 2014Risks associated with virtual commodities
24 Apr 2014Basel Committee – New Large Exposures Framework
17 Apr 2014United Nations Sanctions Ordinance and List of Names for Suspicious Account Reporting
16 Apr 2014Issuance and implementation of a final standard for the capital treatment of bank exposures to central counterparties
11 Apr 2014United Nations Sanctions Ordinance
10 Apr 2014Implementation of new standardised approach for measuring counterparty credit risk exposures
2 Apr 2014Simplified reporting of renminbi (RMB) statistics
28 Mar 2014Treat Customers Fairly Charter
25 Mar 2014Circular Issued by the Securities and Futures Commission ("SFC") on Selling of Complex Bonds and High-Yield Bonds
21 Mar 2014United Nations Sanctions (Liberia) Regulation 2014
14 Mar 2014United Nations Sanctions (Liberia) Regulation 2014 and United Nations Sanctions (Liberia) Regulation 2013 (Repeal) Regulation
12 Mar 2014Complaints Against Debt Collection Agents Employed by Authorized Institutions
7 Mar 2014Foreign Exchange Accumulators (“FX accumulators”) and Non-leveraged Renminbi (“RMB”)-Linked Deposits
28 Feb 2014United Nations (Anti-Terrorism Measures) Ordinance, United Nations Sanctions Ordinance and List of Names for Suspicious Account Reporting
25 Feb 2014Statements issued by Financial Action Task Force on Money Laundering
21 Feb 2014Fund Management Activities Survey 2013 Conducted by the Securities and Futures Commission (SFC)
Encl.  Securities and Futures Commission Fund Management Activities Survey For the year ended 31 December 2013
14 Feb 2014Supervisory Policy Manual (SPM) Revised Module IC-6 – The Sharing and Use of Consumer Credit Data through a Credit Reference Agency (CRA)
10 Feb 2014Basel Committee on Banking Supervision's Paper on “Sound management of risks related to money laundering and financing of terrorism”
7 Feb 2014BCBS Guidance on A Sound Capital Planning Process
15 Jan 2014Self-Assessment of Compliance with the Code of Banking Practice
14 Jan 2014Risk Management of Personal Lending Business
9 Jan 2014Risks associated with virtual commodities
Last revision date: 30 January 2015
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