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SPM-SGL

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CR-L-4 Underwriting of Securities: BELR

Issue Date:

27 Dec 2019

Supersession Date:

13 Dec 2024

CR-L-4.pdf (234.1 KB)

Large Exposures & Risk Concentrations - Limits on credit exposures

Keyword:

Group: Locally Incorporated Authorized Institutions

Directly related Document
Cross referenced Document
Version History
Superseded Document

Directly related Document

CIR

Current

27 Dec 2019

Supervisory Policy Manual (SPM): CR-G-8 “Large Exposures and Risk Concentrations”, CR-G-9 “Exposures to Connected Parties”, CR-L-1 “Consolidated Supervision of Concentration Risks: BELR Rule 6”, CR-L-3 “Letters of Comfort: BELR Rule 57(1)(d)” and CR-L-4 “Underwriting of Securities: BELR”
SPM-SGL

Archive

27 Dec 2019

CR-G-8 Large Exposures and Risk Concentrations
SPM-SGL

Archive

27 Dec 2019

CR-G-9 Exposures to Connected Parties
SPM-SGL

Archive

27 Dec 2019

CR-L-1 Consolidated Supervision of Concentration Risks: BELR Rule 6
SPM-SGL

Current

27 Dec 2019

CR-L-3 Letters of Comfort: BELR Rule 57(1)(d)

SPM-SGL

Current

13 Dec 2024

CR-L-4 Underwriting of Securities: BELR V3
SPM-SGL

Archive

31 Aug 2001

CR-L-4 Underwriting of Securities: §§81 and 87 V1

CIR

Archive

18 Oct 1991

Guidelines on exercise of new discretions introduced by the Banking (Amendment) (No.2) Ordinance 1991

CIR

Current

27 Dec 2019

Supervisory Policy Manual (SPM): CR-G-8 “Large Exposures and Risk Concentrations”, CR-G-9 “Exposures to Connected Parties”, CR-L-1 “Consolidated Supervision of Concentration Risks: BELR Rule 6”, CR-L-3 “Letters of Comfort: BELR Rule 57(1)(d)” and CR-L-4 “Underwriting of Securities: BELR”
SPM-SGL

Archive

27 Dec 2019

CR-G-8 Large Exposures and Risk Concentrations
SPM-SGL

Archive

27 Dec 2019

CR-G-9 Exposures to Connected Parties
SPM-SGL

Archive

27 Dec 2019

CR-L-1 Consolidated Supervision of Concentration Risks: BELR Rule 6
SPM-SGL

Current

27 Dec 2019

CR-L-3 Letters of Comfort: BELR Rule 57(1)(d)

Cross referenced Document

SPM-SGL

Current

13 Dec 2024

CR-L-4 Underwriting of Securities: BELR V3
SPM-SGL

Archive

31 Aug 2001

CR-L-4 Underwriting of Securities: §§81 and 87 V1

CIR

Archive

18 Oct 1991

Guidelines on exercise of new discretions introduced by the Banking (Amendment) (No.2) Ordinance 1991

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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 and Talent Development
- 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
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Credit Risk Management
- CCR
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- Credit risk transfer/Mitigation
- Loan classification/Provisioning
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- Retail credit risk management
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Disclosure
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Fintech
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Green & Sustainable Banking
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- Sustainability reporting standards
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Interest Rate Risk Management
Internal Controls
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- Insourcing/Outsourcing
- Internal audit function
- Risk management function
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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
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OTC Derivatives
- Clearing
- Margining/Risk-mitigation
- Reporting
- Trading
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Recovery planning
Renminbi
Resolution
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Strategic & Reputation Risk Management
Supervisory Approach
Technology Risk Management
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Treasury market
- Reform of interest rate benchmarks
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Trust Business
Wealth Management & MPF
- Insurance products
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