The Risk Assessment Questionnaire For Banks serves as a critical tool for financial institutions operating within Hong Kong's banking sector to evaluate and document their risk exposure comprehensively. This document is typically used during annual risk assessments, significant operational changes, or as required by regulatory authorities. It encompasses detailed evaluations of various risk categories including but not limited to customer risk, operational risk, compliance risk, and technological risk. The questionnaire is specifically designed to align with Hong Kong's regulatory framework, including HKMA guidelines, the Banking Ordinance, and international standards adopted by Hong Kong. It helps banks demonstrate their compliance with regulatory requirements while providing a structured approach to identifying, assessing, and managing potential risks in their operations.
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1. General Information: Basic details about the banking institution, including license type, corporate structure, and key contacts
2. Business Profile: Overview of banking activities, products, services, and target markets
3. Governance and Oversight: Assessment of management structure, internal controls, and risk management framework
4. Customer Risk Assessment: Evaluation of customer base, including high-risk categories and PEPs
5. Geographic Risk Assessment: Analysis of jurisdictional exposure and cross-border activities
6. Product and Service Risk Assessment: Detailed assessment of risks associated with different banking products and services
7. Channel and Distribution Risk: Evaluation of delivery channels and associated risks
8. AML/CTF Controls: Assessment of anti-money laundering and counter-terrorist financing measures
9. Regulatory Compliance: Review of compliance with Hong Kong regulatory requirements and international standards
10. Technology and Cybersecurity: Assessment of IT infrastructure, digital security, and cyber risks
1. Trade Finance Operations: Additional assessment for banks with significant trade finance activities
2. Private Banking Risk Assessment: Specific section for banks offering private banking services
3. Correspondent Banking Relationships: For banks maintaining correspondent banking relationships
4. Digital Banking Services: For banks offering virtual banking or digital services
5. Asset Management Activities: For banks providing asset management or investment services
6. Cross-border RMB Business: For banks handling significant RMB transactions and settlement
1. Risk Scoring Matrix: Detailed methodology for calculating overall risk scores
2. Customer Risk Classification Guide: Criteria and methodology for customer risk categorization
3. Geographic Risk Factors: List of high-risk jurisdictions and associated risk factors
4. Product Risk Assessment Guidelines: Detailed risk assessment criteria for different products and services
5. Required Documentation Checklist: List of supporting documents required for various risk assessments
6. Regulatory Reporting Requirements: Summary of reporting obligations to HKMA and other regulators
7. Control Assessment Templates: Standardized templates for evaluating control effectiveness
8. Risk Mitigation Guidelines: Framework for addressing identified risks and implementing controls
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