繁
简

CIR

Current

喬裝客戶檢查計劃結果

附錄: 喬裝客戶檢查計劃報告 - 香港非上市證券及期貨投資產品銷售情況檢查 (銀行業)

Issue Date:

24 May 2011

20110524-4-TC.pdf (497.3 KB)

Banking Conduct & Enforcement - Consumer Protection

Wealth Management & MPF - Insurance products

Wealth Management & MPF - Securities/investment products

Keyword:

Group: All Authorized Institutions

Directly related Document
Cross referenced Document
Version History
Superseded Document

Directly related Document

CIR

Current

24 May 2011

喬裝客戶檢查計劃結果
Annex

Current

24 May 2011

附件1 - 喬裝客戶檢查計劃結果(金管局)
Annex

Current

24 May 2011

附件2 - 喬裝客戶檢查計劃結果(證監會)

CIR

Current

24 May 2011

喬裝客戶檢查計劃結果
Annex

Current

24 May 2011

附件1 - 喬裝客戶檢查計劃結果(金管局)
Annex

Current

24 May 2011

附件2 - 喬裝客戶檢查計劃結果(證監會)

Cross referenced Document

Version History

Superseded Document

You may also be interested in

CIR

Current

20 Feb 2024

Provision of Custodial Services for Digital Assets

Annex: Guidance on Expected Standards on Provision of Custodial Services for Digital Assets by Authorized Institutions

CIR

Current

20 Feb 2024

Sale and distribution of tokenised products

CIR

Current

24 May 2011

Mystery Shopping Programme ("MSP") Findings

Appendix: Report on Mystery Shopping Programme for the sale of unlisted securities and futures investment products in Hong Kong (Banking Sector)

AML & CFT
- AML/CFT Controls
- Financial Sanctions
- Tax Matters Related
- Others
Authorization
- Digital Banking
- Guide to Authorization
- Mergers/Takeovers/Restructuring
- Minimum Criteria for Authorization
- Money Brokers
- Three-tier Banking System
- Others
Banking Conduct & Enforcement
- Account Opening/Maintenance
- Bank Culture
- Code of Banking Practice
- Complaints
- Consumer Protection
- Credit Data Sharing
- Enforcement/Discipline
- Financial Inclusion
- Others
Business Continuity Planning
Capacity Building
- Enhanced competency framework
- Others
Capital Adequacy
- Capital Base
- Capital Buffers
- CCR
- Credit Risk (non-securitization exposures)
- Credit Risk (securitization exposures)
- Market Risk
- Operational Risk
- Pillar 2
- SIBs
- Sovereign Concentration Risk
- Others
Consolidated Supervision
Corporate Governance
- Board Directorship
- Code of conduct
- Remuneration
- Others
Credit Risk Management
- CCR
- Corporate credit risk management
- Credit risk transfer/Mitigation
- Loan classification/Provisioning
- Property mortgage lending
- Retail credit risk management
- Others
Disclosure
- Pillar 3 requirements
- Others
Fintech
- Commercial data interchange
- Fintech supervisory sandbox
- Open API
- Regtech
- Smart Banking
- Suptech
- Virtual assets
- Others
Green & Sustainable Banking
- Climate risk management
- Sustainability reporting standards
- Others
Interest Rate Risk Management
Internal Controls
- Compliance function
- Insourcing/Outsourcing
- Internal audit function
- Risk management function
- Others
Large Exposures & Risk Concentrations
- Connected parties
- HKMCI-related exposures
- Limits on credit exposures
- Others
Leverage Ratio
Liquidity Risk Management
- Liquidity facilities
- Sound LRM framework
- Statutory liquidity requirements
- Others
Mainland Activities
Market Risk Management
- Algorithmic trading
- Foreign exchange
- Others
Miscellaneous
- BCBS
- Covid-19 challenges
- Deposit protection
- FSB
- SFC/IA/MPFA
- Others
Operational Risk Management
- Commercial Crime Bureau
- Fraud risk management
- Operational and IT incident watch
- Others
OTC Derivatives
- Clearing
- Margining/Risk-mitigation
- Reporting
- Trading
- Others
Recovery planning
Renminbi
Resolution
- Resolution execution
- Resolution framework
- Resolution planning
- Resolution standards
Strategic & Reputation Risk Management
Supervisory Approach
Technology Risk Management
- Cybersecurity
- E-banking
- Fraud risk management
- Others
Treasury market
- Reform of interest rate benchmarks
- Others
Trust Business
Wealth Management & MPF
- Insurance products
- MPF products
- Securities/investment products
- Others