繁
简
A
A
A
Main Page
Legislation
Supervisory Policy Manual (SPM)
Language
Eng
繁
简
Font Size
A-
A
A+
The input contains invalid search syntax, please see tooltip for more information on search operators.
Advanced Search
Search
Please select at least one document type
Please select at least one topic/subtopic
Filtering Result
The input contains invalid search syntax, please see tooltip for more information on search operators.
Search
Advanced Search
The input contains invalid search syntax, please see tooltip for more information on search operators.
Topic:
Edit
Clear
Keyword:
Edit
Clear
User Input:
Clear
Version
All version
Current
Archive
Topic
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
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
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
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
Leverage Ratio
Liquidity Risk Management
Liquidity facilities
Sound LRM framework
Statutory liquidity requirements
Others
Mainland Activities
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
Recovery planning
Renminbi
Renminbi
Resolution
Resolution execution
Resolution framework
Resolution planning
Resolution standards
Strategic & Reputation Risk Management
Strategic & Reputation Risk Management
Supervisory Approach
Supervisory Approach
Technology Risk Management
Cybersecurity
E-banking
Fraud risk management
Others
Treasury market
Reform of interest rate benchmarks
Others
Trust Business
Trust Business
Wealth Management & MPF
Insurance products
MPF products
Securities/investment products
Others
View All
Keyword
Accessibility/Barrier-free/Disability
Accumulators/Decumulators
Additional tier 1 capital
Annuity insurance products
Assessment/feedback mechanisms
Basis risk
Big data/Artificial intelligence
Board of Directors
CAAP
CAMEL
Card services
Cash-flow projection
CB ratio
CCyB ratio
Central counterparties
CEs/ACEs
CET1 capital
CFR
Climate-focused scenario analysis
Climate-related disclosures
Climate-related financial risks
Cloud
Collateral/guarantees
Commercial credit data sharing
Commercial/Industrial properties/Car park spaces
Conflict of interest
Consumer credit data sharing
Contingency planning
Contractual provision
Controllers
Counterparty default risk
Country risk
Credit spread risk
Critical financial functions
Cross border activities
Current exposure
Customer due diligence
CVA risk
Cyber Intelligence Sharing Platform
Cyber Resilience Assessment Framework
Cybersecurity Fortification Initiative
Data Protection
Debt collection
Disclosure/Transparency
D-SIBs
DSR
Eligible securitization transactions
EOs/ReIs
Essential services
Exposure measure
External auditors
Financial market infrastructure/FMI
Gap risk
Group structure
G-SIBs
HLA ratio
IAA
ILAS products
Impediments to resolvability
Incentive systems
Incident response/management/recovery
INEDs
Inferred ratings
Internal auditors
Intraday liquidity monitoring tools
LAC
LCR
LFET
LMR
LTV
Management information system
Net worth
NLTI products
Non-secured credit
Non-SFO regulated investment products
NSFR
Off-site review
On-site examination
Operational continuity
Operational risk
Option risk
Payment/transfer
Policies/procedures
Preferred resolution strategy
Private wealth management
Product due diligence
Professional Development Programme
Recognized credit derivative contracts
Recognized netting
Recovery options
Recovery triggers
Regulatory deductions
Regulatory reporting/disclosures
Reporting channels
Re-securitization exposures
Residential properties
Resolvability assessment
Retail wealth management
Revocation/suspension
Risk appetite/limits
Risk measurement
Risk-weight floor
Risk-weighting approach
ROs
SEC-ERBA
SEC-FBA
SEC-IRBA
SEC-SA
Secured credit
Senior management/72B managers
Simple bank accounts
Solo/consolidated supervision
Specialized/Board committees
SRP
Stabilization options
Stays
Strategic/reputation risk
Stress-testing
Suitability assessment
Supervisory cooperation
Suspicious transaction reporting
Systems/controls
Technology risk
Termination right
Three lines of defence
Tier 1 capital
Tier 2 capital
Trade finance
Transaction monitoring
Treat customers fairly
Use of banking names
View All
Document Type
SPM - Supervisory Policy Manual
SPM-NGL - SPM Non-Statutory Guideline
SPM-SGL - SPM Statutory Guideline
GLI - Guideline
CIR - Circular
GTA - Guide to Authorization
COP - Code of Practice
IGL - Guidance developed in conjunction with industry
CPR - Consultation Paper
Date
Issue
Effective
All Issue Date
This Year
Last Year
Last Three Years
Custom
From
To
All Effective Date
This Year
Last Year
Last Three Years
Custom
From
To
From Date is later than To Date
Reset
Search
Result
Sort by
Relevance
Issue Date ascending
Issue Date descending
Document Title ascending
Document Title descending
Document Type
Go to
10 items
20 items
50 items
100 items
Clear All
Select All
Expand All
Collapse All
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
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
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
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
Leverage Ratio
Liquidity Risk Management
Liquidity facilities
Sound LRM framework
Statutory liquidity requirements
Others
Mainland Activities
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
Recovery planning
Renminbi
Renminbi
Resolution
Resolution execution
Resolution framework
Resolution planning
Resolution standards
Strategic & Reputation Risk Management
Strategic & Reputation Risk Management
Supervisory Approach
Supervisory Approach
Technology Risk Management
Cybersecurity
E-banking
Fraud risk management
Others
Treasury market
Reform of interest rate benchmarks
Others
Trust Business
Trust Business
Wealth Management & MPF
Insurance products
MPF products
Securities/investment products
Others
Filter
Alphabetic
Topic
Clear All
Expand All
Collapse All
A
Accessibility/Barrier-free/Disability
Accumulators/Decumulators
Additional tier 1 capital
Annuity insurance products
Assessment/feedback mechanisms
B
Basis risk
Big data/Artificial intelligence
Board of Directors
C
CAAP
CAMEL
Card services
Cash-flow projection
CB ratio
CCyB ratio
Central counterparties
CEs/ACEs
CET1 capital
CFR
Climate-focused scenario analysis
Climate-related disclosures
Climate-related financial risks
Cloud
Collateral/guarantees
Commercial credit data sharing
Commercial/Industrial properties/Car park spaces
Conflict of interest
Consumer credit data sharing
Contingency planning
Contractual provision
Controllers
Counterparty default risk
Country risk
Credit spread risk
Critical financial functions
Cross border activities
Current exposure
Customer due diligence
CVA risk
Cyber Intelligence Sharing Platform
Cyber Resilience Assessment Framework
Cybersecurity Fortification Initiative
D
Data Protection
Debt collection
Disclosure/Transparency
D-SIBs
DSR
E
Eligible securitization transactions
EOs/ReIs
Essential services
Exposure measure
External auditors
F
Financial market infrastructure/FMI
G
Gap risk
Group structure
G-SIBs
H
HLA ratio
I
IAA
ILAS products
Impediments to resolvability
Incentive systems
Incident response/management/recovery
INEDs
Inferred ratings
Internal auditors
Intraday liquidity monitoring tools
L
LAC
LCR
LFET
LMR
LTV
M
Management information system
N
Net worth
NLTI products
Non-secured credit
Non-SFO regulated investment products
NSFR
O
Off-site review
On-site examination
Operational continuity
Operational risk
Option risk
P
Payment/transfer
Policies/procedures
Preferred resolution strategy
Private wealth management
Product due diligence
Professional Development Programme
R
Recognized credit derivative contracts
Recognized netting
Recovery options
Recovery triggers
Regulatory deductions
Regulatory reporting/disclosures
Reporting channels
Re-securitization exposures
Residential properties
Resolvability assessment
Retail wealth management
Revocation/suspension
Risk appetite/limits
Risk measurement
Risk-weight floor
Risk-weighting approach
ROs
S
SEC-ERBA
SEC-FBA
SEC-IRBA
SEC-SA
Secured credit
Senior management/72B managers
Simple bank accounts
Solo/consolidated supervision
Specialized/Board committees
SRP
Stabilization options
Stays
Strategic/reputation risk
Stress-testing
Suitability assessment
Supervisory cooperation
Suspicious transaction reporting
Systems/controls
T
Technology risk
Termination right
Three lines of defence
Tier 1 capital
Tier 2 capital
Trade finance
Transaction monitoring
Treat customers fairly
U
Use of banking names
AML & CFT
Customer due diligence
Suspicious transaction reporting
Transaction monitoring
Authorization
Revocation/suspension
Use of banking names
Banking Conduct & Enforcement
Accessibility/Barrier-free/Disability
Assessment/feedback mechanisms
Card services
Commercial credit data sharing
Conflict of interest
Consumer credit data sharing
Debt collection
Disclosure/Transparency
Incentive systems
Reporting channels
Simple bank accounts
Treat customers fairly
Capital Adequacy
Additional tier 1 capital
CAAP
CB ratio
CCyB ratio
Central counterparties
CET1 capital
Counterparty default risk
Current exposure
CVA risk
D-SIBs
Eligible securitization transactions
G-SIBs
HLA ratio
IAA
Inferred ratings
LAC
Recognized credit derivative contracts
Recognized netting
Regulatory deductions
Re-securitization exposures
Risk-weight floor
Risk-weighting approach
SEC-ERBA
SEC-FBA
SEC-IRBA
SEC-SA
SRP
Tier 1 capital
Tier 2 capital
Consolidated Supervision
Controllers
Cross border activities
Group structure
Solo/consolidated supervision
Supervisory cooperation
Trade finance
Corporate Governance
Board of Directors
CEs/ACEs
INEDs
Senior management/72B managers
Specialized/Board committees
Credit Risk Management
Collateral/guarantees
Commercial/Industrial properties/Car park spaces
Country risk
DSR
LTV
Net worth
Non-secured credit
Residential properties
Secured credit
Disclosure
Regulatory reporting/disclosures
Fintech
Big data/Artificial intelligence
Cloud
Financial market infrastructure/FMI
Green & Sustainable Banking
Climate-focused scenario analysis
Climate-related disclosures
Climate-related financial risks
Interest Rate Risk Management
Basis risk
Credit spread risk
Gap risk
Option risk
Internal Controls
Contingency planning
External auditors
Incident response/management/recovery
Internal auditors
Management information system
Policies/procedures
Product due diligence
Risk appetite/limits
Risk measurement
Stress-testing
Systems/controls
Three lines of defence
Leverage Ratio
Exposure measure
Liquidity Risk Management
Cash-flow projection
CFR
Intraday liquidity monitoring tools
LCR
LMR
NSFR
Operational Risk Management
Operational risk
Recovery planning
Recovery options
Recovery triggers
Resolution
Contractual provision
Critical financial functions
Essential services
Impediments to resolvability
Operational continuity
Preferred resolution strategy
Resolvability assessment
Stabilization options
Stays
Termination right
Strategic & Reputation Risk Management
Strategic/reputation risk
Supervisory Approach
CAMEL
Off-site review
On-site examination
Technology Risk Management
Cyber Intelligence Sharing Platform
Cyber Resilience Assessment Framework
Cybersecurity Fortification Initiative
Data Protection
Payment/transfer
Professional Development Programme
Technology risk
Wealth Management & MPF
Accumulators/Decumulators
Annuity insurance products
EOs/ReIs
ILAS products
LFET
NLTI products
Non-SFO regulated investment products
Private wealth management
Retail wealth management
ROs
Suitability assessment
