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
SPM	Exposures to Connected Parties (PDF File, 780.3 KB)	13 Dec 2024	CR-G-9
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
SPM	Risk-based supervisory approach (PDF File, 318.9 KB)	23 Dec 2022	SA-1
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
SPM	Group-wide approach to supervision of locally incorporated authorized institutions (PDF File, 851.8 KB)	20 Jul 2021	CS-1
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
SPM	Supervisory Approach on Anti-Money Laundering and Counter-Financing of Terrorism (PDF File, 327.6 KB)	19 Oct 2018	AML-1
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

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Last revision date : 13 December 2024