Describes the HKMA's supervision of AIs' securities and futures business under the Securities and Futures Ordinance: the regulatory framework (registration with the SFC, cooperation between the HKMA and the SFC), the supervisory approach (guidelines and standards, on-site examinations, off-site reviews), the major legal and regulatory requirements (corporate governance and internal controls, registration of relevant individuals and executive officers, fitness and properness and continuous professional training, know-your-customer and client agreements, product due diligence, selling of investment products, corporate finance advisory, bookbuilding and placing, asset management, back-office functions, controls, monitoring and supervision, professional investors, the client identity rule, depositary services for SFC-authorised collective investment schemes, other requirements, anti-money laundering), reporting of certain events and disciplinary actions. Classification: a statutory guideline issued by the Monetary Authority under the Banking Ordinance §7(3); version V.4, 12.09.25; applies to AIs registered with the SFC for regulated activities.
The graph holds this control, the 0 it maps to, and the evidence behind each claim, over MCP and REST.