繁
简

GTA

Current

Guide to Authorization-Chapter 2-The Authorization Regime

Issue Date:

23 Mar 2022

Chapter-2.pdf (146.4 KB)

Authorization - Guide to Authorization

Authorization - Three-tier Banking System

Keyword:

Group: All Authorized Institutions

Directly related Document
Cross referenced Document
Version History
Superseded Document

Directly related Document

- - GTA
    
    Current
    
    25 May 2020
    
    Guide to Authorization-Chapter 1-Introduction
- - GTA
    
    Current
    
    23 Mar 2022
    
    Guide to Authorization-Chapter 3-The Legal and Supervisory Framework
- - GTA
    
    Current
    
    23 Mar 2022
    
    Guide to Authorization-Chapter 4-Authorization
- - GTA
    
    Current
    
    23 Mar 2022
    
    Guide to Authorization-Chapter 5-Revocation and Suspension of Authorization
- - GTA
    
    Current
    
    09 Mar 2018
    
    Guide to Authorization-Chapter 6-Powers of Control over Authorized Institutions
- - GTA
    
    Current
    
    09 Mar 2018
    
    Guide to Authorization-Chapter 7-Restrictions on Use of Banking Names and Descriptions
- - GTA
    
    Current
    
    23 Mar 2022
    
    Guide to Authorization-Chapter 8-Application Procedures
- - GTA
    
    Current
    
    25 Oct 2024
    
    Guide to Authorization - Chapter 9 - Authorization of Digital Banks
- - GTA
    
    Current
    
    09 Mar 2018
    
    Guide to Authorization-Chapter 10-Money Brokers
- - Annex
    
    Current
    
    04 Dec 2015
    
    Annex 1 - Sample Letter of Comfort
- - Annex
    
    Current
    
    23 Mar 2022
    
    Annex 2 - Documents Required to be Submitted on Application

- - GTA
    
    Current
    
    25 May 2020
    
    Guide to Authorization-Chapter 1-Introduction
- - GTA
    
    Current
    
    23 Mar 2022
    
    Guide to Authorization-Chapter 3-The Legal and Supervisory Framework
- - GTA
    
    Current
    
    23 Mar 2022
    
    Guide to Authorization-Chapter 4-Authorization
- - GTA
    
    Current
    
    23 Mar 2022
    
    Guide to Authorization-Chapter 5-Revocation and Suspension of Authorization
- - GTA
    
    Current
    
    09 Mar 2018
    
    Guide to Authorization-Chapter 6-Powers of Control over Authorized Institutions
- - GTA
    
    Current
    
    09 Mar 2018
    
    Guide to Authorization-Chapter 7-Restrictions on Use of Banking Names and Descriptions
- - GTA
    
    Current
    
    23 Mar 2022
    
    Guide to Authorization-Chapter 8-Application Procedures
- - GTA
    
    Current
    
    25 Oct 2024
    
    Guide to Authorization - Chapter 9 - Authorization of Digital Banks
- - GTA
    
    Current
    
    09 Mar 2018
    
    Guide to Authorization-Chapter 10-Money Brokers
- - Annex
    
    Current
    
    04 Dec 2015
    
    Annex 1 - Sample Letter of Comfort
- - Annex
    
    Current
    
    23 Mar 2022
    
    Annex 2 - Documents Required to be Submitted on Application

Cross referenced Document

Version History

Superseded Document

You may also be interested in

GLI

Current

22 Jan 1990

Restricted licence banks

CIR

Archive

09 Apr 2002

Use of Banking Names and Descriptions

GLI

Archive

15 Nov 1995

Use of banking name (General Consent under Section 97(1)) (November 1995)

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
- 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