繁
简

CIR

Current

Expected controls for account opening and maintaining relationships with clients with investment accounts

Attachment: Circular to licensed corporations Expected controls for account opening and maintaining relationships with clients

Issue Date:

22 May 2026

20260522-13-EN.pdf (563.3 KB)

Wealth Management & MPF - Securities/investment products

Group: All Authorized Institutions

Directly related Document
Cross referenced Document
Version History
Superseded Document

Directly related Document

CIR

Current

22 May 2026

Expected controls for account opening and maintaining relationships with clients with investment accounts
Annex

Current

22 May 2026

Annex 1 - Additional measures for opening and managing investment accounts of Chinese Mainland investors
Annex

Current

22 May 2026

Annex 2 - Frequently asked questions for the circular on expected controls for account opening and maintaining relationships with clients with investment accounts

CIR

Current

22 May 2026

Expected controls for account opening and maintaining relationships with clients with investment accounts
Annex

Current

22 May 2026

Annex 1 - Additional measures for opening and managing investment accounts of Chinese Mainland investors
Annex

Current

22 May 2026

Annex 2 - Frequently asked questions for the circular on expected controls for account opening and maintaining relationships with clients with investment accounts

Cross referenced Document

Version History

Superseded Document

You may also be interested in

CIR

Archive

22 Feb 2024

Asset and Wealth Management Activities Survey 2023 Conducted by the Securities and Futures Commission (“SFC”)

CIR

Current

08 Apr 2016

Feedback from recent reviews of the selling of investment products

Annex: Key Observations and Practices Noted in Recent Reviews

CIR

Current

22 Nov 2019

Feedback from Recent Reviews on Selling of Investment Funds

Annex: Key Observations and Good Practices Noted in Recent Reviews on Selling of Investment Funds by RI's

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