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LM-1 流動性風險監管制度

Issue Date:

13 Dec 2024

Supersession Date:

01 Jan 2026

LM-1-TC.pdf (2.6 MB)

Liquidity Risk Management - Others

Group: All Authorized Institutions

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Cross referenced Document
Version History
Superseded Document

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13 Dec 2024

《監管政策手冊》 - 因實施《巴塞爾協定三》最終改革方案涉及的相關更新 (暫時只備英文版本)
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CR-G-8 大額風險承擔及風險集中
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CR-G-9 對關連各方的風險承擔
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CR-L-1 綜合監管集中風險:(風險承擔限度規則) 第6條
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CR-L-4 包銷證券: (風險承擔限度規則)

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LM-1 流動性風險監管制度 V5
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28 Aug 2020

LM-1 流動性風險監管制度 V3
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29 Jul 2016

LM-1 流動性風險監管制度 V2

CIR

Current

13 Dec 2024

《監管政策手冊》 - 因實施《巴塞爾協定三》最終改革方案涉及的相關更新 (暫時只備英文版本)
SPM-SGL

Archive

13 Dec 2024

CR-G-8 大額風險承擔及風險集中
SPM-SGL

Archive

13 Dec 2024

CR-G-9 對關連各方的風險承擔
SPM-SGL

Current

13 Dec 2024

CR-L-1 綜合監管集中風險:(風險承擔限度規則) 第6條
SPM-SGL

Current

13 Dec 2024

CR-L-4 包銷證券: (風險承擔限度規則)

Cross referenced Document

SPM-SGL

Current

19 Dec 2025

LM-1 流動性風險監管制度 V5
SPM-SGL

Archive

28 Aug 2020

LM-1 流動性風險監管制度 V3
SPM-SGL

Archive

29 Jul 2016

LM-1 流動性風險監管制度 V2

Superseded Document

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30 Aug 2024

Revised Banking Returns – Capital Adequacy Ratio (Form MA(BS)3) (“CAR Return”), Leverage Ratio (Form MA(BS)27) (“LR Return”), Liquidity Position (Form MA(BS)1E) (“Liquidity Position Return”) and Stable Funding Position (Form MA(BS)26) (“Stable Funding Position Return”)

Enclosure: MA(BS)1E Completion Instructions

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Revised Banking Returns – Capital Adequacy Ratio (Form MA(BS)3) (“CAR Return”), Leverage Ratio (Form MA(BS)27) (“LR Return”), Liquidity Position (Form MA(BS)1E) (“Liquidity Position Return”) and Stable Funding Position (Form MA(BS)26) (“Stable Funding Position Return”)

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13 Dec 2024

LM-1 Regulatory Framework for Supervision of Liquidity Risk

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