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Notes:

  1. Type of Regulatory Documents:
    SPM = Supervisory Policy Manual, CIR = Circular, GLN = Guideline, COP = Code of Practice, EN = Explanatory Note, PN = Practice Note, AG = Additional Guidance
  2. Reference of Regulatory Documents:
    X-X-N / X-N = SPM Module Code, N.N / N.N.N = Guideline No.

Type Title Issue Date Ref
CIR
Guidance Note on Cooperation with the HKMA in Investigations and Enforcement Proceedings (PDF File, 68.4 KB)
22 Aug 2018
GLN
Guidance Note on Cooperation with the HKMA in Investigations and Enforcement Proceedings (PDF File, 318.8 KB)
22 Aug 201817.3
CIR
Circular on Guideline on Exercising Power to Order a Pecuniary Penalty under s 54(1E) of the Payment Systems and Stored Value Facilities Ordinance (PDF File, 78.4 KB)
27 Apr 2018
CIR
Amendments to Guideline on Exercising Power to Impose Pecuniary Penalty under s 23(1) of the Anti-Money Laundering and Counter-Terrorist Financing Ordinance (For Stored Value Facility Licensees) (PDF File, 78.5 KB)
27 Apr 2018
CIR
Amendments to Guideline on Exercising Power to Impose Pecuniary Penalty under s 23(1) of the Anti-Money Laundering and Counter-Terrorist Financing Ordinance (For Authorized Institutions) (PDF File, 78.5 KB)
27 Apr 2018
GLN
Guideline on Exercising Power to Order a Pecuniary Penalty under Section 54(1E) of the Payment Systems and Stored Value Facilities Ordinance (PDF File, 131.5 KB)
27 Apr 201817.4
GLN
Guideline on Exercising Power to Impose Pecuniary Penalty under Section 23(1) of the Anti-Money Laundering and Counter-Terrorist Financing Ordinance (Revised April 2018) (PDF File, 150.7 KB)
27 Apr 201817.1
GLN
Guideline on Exercising Disciplinary Power to Order a Pecuniary Penalty under Section 203C(1) of the Securities and Futures Ordinance in respect of the OTC Derivatives Regime (PDF File, 129.0 KB)
30 Sep 201617.2
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Last revision date : 22 August 2018