Supervisory Approach

Notes:

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
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	Supervisory Policy Manual (SPM): Revised Module SA-1 on “Risk-based Supervisory Approach” (PDF File, 168.3 KB) Encl. Supervisory Policy Manual (SPM) Module: SA-1 “Risk-based supervisory approach” (PDF File, 355.2 KB)	23 Dec 2022
CIR	Supervisory Policy Manual (SPM): CS-1 “Group-wide Approach to Supervision of Locally Incorporated Authorized Institutions” (PDF File, 241.2 KB) Encl. Supervisory Policy Manual (SPM): CS-1 “Group-wide Approach to Supervision of Locally Incorporated Authorized Institutions” (PDF File, 851.8 KB)	20 Jul 2021
CIR	Policy and Supervisory Approach on Anti-Money Laundering and Counter-Financing of Terrorism (For Stored Value Facility Licensees) (PDF File, 237.5 KB)	19 Oct 2018
CIR	Supervisory Policy Manual (SPM): AML-1 “Supervisory Approach on Anti-Money Laundering and Counter-Financing of Terrorism” (For Authorized Institutions) (PDF File, 66.3 KB) Click here for SPM:AML-1 (PDF File, 327.6 KB)	19 Oct 2018
CIR	Banking (Amendment) Ordinance 2018 (PDF File, 91.4 KB)	02 Feb 2018
CIR	HKFRS 9 Implementation: Revisions to Regulatory Reporting (PDF File, 615.1 KB)	20 Dec 2017
CIR	Banking (Amendment) Bill 2017 (PDF File, 78.7 KB)	12 Oct 2017
CIR	Engagement of External Business Referral Service Providers (PDF File, 99.9 KB)	20 Aug 2014
CIR	Notification requirements under Basel Core Principles 6 and 9 (PDF File, 92.3 KB)	22 Oct 2013
CIR	Supervisory Policy Manual (SPM) CS-1 "Group-wide Approach to Supervision of Locally Incorporated Authorized Institutions"	24 Nov 2008

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Last revision date : 23 December 2022