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CIR

Current

因應認可機構就中小企實施打擊洗錢及恐怖分子資金籌集管控措施的專題評估的回應

附件: 主題檢討認可機構就中小企實施打擊洗錢及打擊資助恐怖主義監控措施的反饋 (只備英文版本)

Issue Date:

14 Jun 2019

20190614-8-TC.pdf (190.1 KB)

AML & CFT - AML/CFT Controls

Banking Conduct & Enforcement - Financial Inclusion

Keyword:

Group: All Authorized Institutions

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CIR

Current

14 Jun 2019

因應認可機構就中小企實施打擊洗錢及恐怖分子資金籌集管控措施的專題評估的回應 (暫時只備英文版本)

CIR

Current

14 Jun 2019

因應認可機構就中小企實施打擊洗錢及恐怖分子資金籌集管控措施的專題評估的回應 (暫時只備英文版本)

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Version History

Superseded Document

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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
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Fintech
- Commercial data interchange
- Fintech supervisory sandbox
- Open API
- Regtech
- Smart Banking
- Suptech
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Green & Sustainable Banking
- Climate risk management
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Interest Rate Risk Management
Internal Controls
- Compliance function
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- Risk management function
- Others
Large Exposures & Risk Concentrations
- Connected parties
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- Limits on credit exposures
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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
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- Operational and IT incident watch
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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