繁
简

CIR

现时生效

透过非面对面渠道分销投资及保险产品

附件: 透过非面对面渠道分销投资及保险产品的指引

Issue Date:

24 Sep 2021

20210924-2-TC.pdf (566.4 KB)

财富管理及强积金 - 保险产品

财富管理及强积金 - 证券及投资产品

Keyword:

Group: 所有认可机构

Directly related Document
Cross referenced Document
Version History
Superseded Document

Directly related Document

CIR

现时生效

24 Sep 2021

透过非面对面渠道分销投资及保险产品

CIR

现时生效

23 Dec 2020

有关投资者保障措施的常见问题
CIR

现时生效

25 Sep 2019

关於投资、保险及强制性公积金产品的投资者保障措施

附件: 关於投资、保险及强制性公积金产品的投资者保障措施（暂时只备英文版本）

CIR

现时生效

24 Sep 2021

透过非面对面渠道分销投资及保险产品

CIR

现时生效

23 Dec 2020

有关投资者保障措施的常见问题
CIR

现时生效

25 Sep 2019

关於投资、保险及强制性公积金产品的投资者保障措施

附件: 关於投资、保险及强制性公积金产品的投资者保障措施（暂时只备英文版本）

Version History

Superseded Document

You may also be interested in

CIR

现时生效

08 Dec 2014

销售非投资相连长期保险 (「非投连长险」 )产品

附件: 认可机构於销售非投连长险产品上应采取的实务手法

CIR

现时生效

08 Dec 2014

乔装客户检查计划结果

附件: 乔装客户检查计划结果

CIR

现时生效

22 Nov 2019

近期有关投资基金销售的评估结果

附件: 在近期评估中识别到注册机构在销售投资基金方面的主要事项及良好处理方法（暂时只备英文版本）

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