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CIR

Current

Distribution of Fixed Income and Structured Products

The 4th bullet point in the 2nd paragraph of the cover letter has been superseded by the HKMA’s circular dated 14 March 2025 on “Guidance on Selling of Accumulators”.

Issue Date:

08 Feb 2018

20180208-1-EN.pdf (757.1 KB)

Miscellaneous - SFC/IA/MPFA

Wealth Management & MPF - Securities/investment products

Group: All Authorized Institutions

Directly related Document
Cross referenced Document
Version History
Superseded Document

Directly related Document

Annex

Current

08 Feb 2018

Annex 1 - Key observations and good practices noted in respect of distribution of fixed income and structured products
Annex

Current

08 Feb 2018

Annex 2 - SFC circular on 25 Jan 2018

CPR

Archive

17 Jan 2018

An Effective Resolution Regime for Financial Institutions in Hong Kong Financial Institutions (Resolution) Ordinance (Chapter 628) Rules on Loss-Absorbing Capacity Requirements for Authorized Institutions
CIR

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22 Dec 2010

Selling of Accumulators

Annex

Current

08 Feb 2018

Annex 1 - Key observations and good practices noted in respect of distribution of fixed income and structured products
Annex

Current

08 Feb 2018

Annex 2 - SFC circular on 25 Jan 2018

CPR

Archive

17 Jan 2018

An Effective Resolution Regime for Financial Institutions in Hong Kong Financial Institutions (Resolution) Ordinance (Chapter 628) Rules on Loss-Absorbing Capacity Requirements for Authorized Institutions
CIR

Archive

22 Dec 2010

Selling of Accumulators

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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