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CIR

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銷售及分銷綠色及可持續投資產品

附件2: 有關銷售及分銷綠色及可持續投資產品的常見問題

Issue Date:

29 Nov 2023

20231129-7-TC.pdf (363.2 KB)

Green & Sustainable Banking - Others

Wealth Management & MPF - Securities/investment products

Group: Registered Institutions

Directly related Document
Cross referenced Document
Version History
Superseded Document

Directly related Document

CIR

Current

29 Nov 2023

銷售及分銷綠色及可持續投資產品
Annex

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附件1 - 銷售及分銷綠色及可持續投資產品的預期標準及良好手法例子

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有關中介人為遵守向高端專業投資者提供合理適當建議的責任的精簡程序
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31 Jul 2020

銷售及分銷政府及相關組織發行的合資格零售債券的簡化安排

CIR

Current

29 Nov 2023

銷售及分銷綠色及可持續投資產品
Annex

Current

29 Nov 2023

附件1 - 銷售及分銷綠色及可持續投資產品的預期標準及良好手法例子

CIR

Current

28 Jul 2023

有關中介人為遵守向高端專業投資者提供合理適當建議的責任的精簡程序
CIR

Current

31 Jul 2020

銷售及分銷政府及相關組織發行的合資格零售債券的簡化安排

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Superseded Document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
- 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