New Supervisory Policy Manual (SPM) Module MB-1 on “Risk-based Supervision of Approved Money Brokers”

Issue Date:

15 Nov 2024

20241213-6-EN.pdf (175.6 KB)

Topic:

Authorization - Money Brokers

Group: Specific

Directly related Document
Cross referenced Document
Version History
Superseded Document

Directly related Document

SPM-SGL

Current

15 Nov 2024

MB-1 Risk-based Supervision of Approved Money Broker

SPM-SGL

Current

15 Nov 2024

MB-1 Risk-based Supervision of Approved Money Broker

Cross referenced Document

Version History

Superseded Document

You may also be interested in

GLI

Current

18 Nov 2016

Guideline on approval and revocation of approval of money brokers

GLI

Archive

08 May 1997

Banking (Amendment) Ordinance 1997 (May 1997) - Circular 8 May 1997

Annex 2: Guideline on Approval and revocation of approval of money brokers

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

New Supervisory Policy Manual (SPM) Module MB-1 on “Risk-based Supervision of Approved Money Brokers”

Directly related Document

Cross referenced Document

Version History

Superseded Document

You may also be interested in

+

-