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SPM-SGL
Current
CR-S-4 新股認購及股票保證金融資
Issue Date:
17 Nov 2023
CR-S-4-TC.pdf (1.2 MB)
Topic:
Credit Risk Management - Others
Keyword:
Policies/procedures
Systems/controls
Risk appetite/limits
Senior management/72B managers
Collateral/guarantees
+
Specialized/Board committees
Strategic/reputation risk
Board of Directors
LTV
Operational risk
Reporting channels
Management information system
Off-site review
On-site examination
Counterparty default risk
Non-secured credit
Contingency planning
Customer due diligence
Internal auditors
Stress-testing
External auditors
-
Group:
All Authorized Institutions
Directly related Document
Cross referenced Document
Version History
Superseded Document
Directly related Document
CIR
Current
17 Nov 2023
《監管政策手冊》單元 CR-S-4「新股認購及股票保證金融資」
SPM-NGL
Current
13 Apr 2026
IC-5 壓力測試
SPM-SGL
Current
19 Dec 2025
CR-G-9 對關連各方的風險承擔
SPM-NGL
Current
11 Apr 2025
CR-G-7 抵押品及擔保書 (只備英文版本)
SPM
Current
10 Apr 2025
GL 辭彙
SPM
Current
17 Jan 2025
IN 引言
SPM-SGL
Current
06 Jan 2023
IC-4 投訴處理及補償
CIR
Archive
27 May 2016
《監管政策手冊》單元SB-1「對獲得證監會註冊的認可機構進行的受規管活動的監管」(經修訂)
SPM-SGL
Current
19 Jan 2001
CR-G-2 信貸批核、檢討及記錄
SPM-SGL
Current
19 Jan 2001
CR-G-3 信貸管理、評估及監察
SPM-SGL
Current
19 Jan 2001
CR-G-1 信貸風險管理的一般原則
SPM-SGL
Archive
26 Jan 2007
CR-S-4 新股認購及股票保證金融資 V1
Directly related Document
CIR
Current
17 Nov 2023
《監管政策手冊》單元 CR-S-4「新股認購及股票保證金融資」
Cross referenced Document
SPM-NGL
Current
13 Apr 2026
IC-5 壓力測試
SPM-SGL
Current
19 Dec 2025
CR-G-9 對關連各方的風險承擔
SPM-NGL
Current
11 Apr 2025
CR-G-7 抵押品及擔保書 (只備英文版本)
SPM
Current
10 Apr 2025
GL 辭彙
SPM
Current
17 Jan 2025
IN 引言
SPM-SGL
Current
06 Jan 2023
IC-4 投訴處理及補償
CIR
Archive
27 May 2016
《監管政策手冊》單元SB-1「對獲得證監會註冊的認可機構進行的受規管活動的監管」(經修訂)
SPM-SGL
Current
19 Jan 2001
CR-G-2 信貸批核、檢討及記錄
SPM-SGL
Current
19 Jan 2001
CR-G-3 信貸管理、評估及監察
SPM-SGL
Current
19 Jan 2001
CR-G-1 信貸風險管理的一般原則
Version History
SPM-SGL
Archive
26 Jan 2007
CR-S-4 新股認購及股票保證金融資 V1
Superseded Document
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