Written return to inform the Insurance Authority (“Authority”) in respect of a person becoming an auditor of an authorized insurer pursuant to section 15(1) of the Insurance Ordinance (Cap. 41) (“Ordinance”)

or

Written return to inform the Authority in respect of a person ceasing to be an auditor of an authorized insurer pursuant to section 15(1) of the Ordinance

1. Please respond to the following item (a) and then click “GO”. Then the purpose of submission of this form and the required item numbers will be displayed.

Position:
(a) Type of submission:
Case reference (please also refer to summary table)
Purpose of submission of this form
Required items

2.

Name of authorized insurer:	Click or tap here to enter text.
Unique business identifier of the authorized insurer	Click or tap here to enter text.

3. Name of the auditor

The auditor is:	☐ an individual ☐ a partnership ☐ a body corporate
Name of the individual, partnership or the body corporate in English:	Click or tap here to enter text.
Name of the individual1, partnership or the body corporate in Chinese (if any):	Click or tap here to enter text.

4. Information to whom this form applies

(a) For auditor who is an individual
Professional accounting qualification of the individual	Click or tap here to enter text.
Practising certificate number	Click or tap here to enter text.
Office address	Click or tap here to enter text.
Phone number	Office number
Country code	Number
Click or tap here to enter text.	Click or tap here to enter text.
Mobile number
Country code	Number
Click or tap here to enter text.	Click or tap here to enter text.
Business email address (if nil, then private email address)	Click or tap here to enter text.

(b) For auditor who is a partnership
Registration number	Click or tap here to enter text.
Please specify the issuing authority: Click or tap here to enter text.
Unique business identifier (if any)	Click or tap here to enter text.
Registered office address	Click or tap here to enter text.
Phone number	Office number
Country code	Number
Click or tap here to enter text.	Click or tap here to enter text.
Mobile number
Country code	Number
Click or tap here to enter text.	Click or tap here to enter text.
Business email address (if nil, then private email address)	Click or tap here to enter text.

(c) For auditor which is a body corporate
Registration number5	Click or tap here to enter text.
Please specify the issuing authority: Click or tap here to enter text.
Unique business identifier (if any)	Click or tap here to enter text.
Registered office address	Click or tap here to enter text.
Office telephone number	Country code	Number
Click or tap here to enter text.	Click or tap here to enter text.
Email address	Click or tap here to enter text.

5.

Date on which the person became/ceases/ceased to be an auditor of the authorized insurer (as the case may be)	Day (dd)	Month (mmm)	Year (yyyy)
Click or tap here to enter text.	Choose an item.	Click or tap here to enter text.
☐ Date of cessation to be confirmed

6.

Reason for ceasing to be an auditor—	☐ Resignation (a written notice signed by the auditor pursuant to section 15A(2)(a) of the Ordinance is ☐ attached / ☐ separately submitted)
☐ The auditor has been so appointed for a fixed term and decides not to seek for a reappointment (a written notice7 signed by the auditor pursuant to section 15A(2)(b) of the Ordinance is ☐ attached / ☐ separately submitted)
☐ Other reasons to be specified: Click or tap here to enter text.

☐ I certify that in respect of the authorized insurer the person is an auditor pursuant to section 15(1)(a) or (b) of the Ordinance (as the case may be)
Signed:
Name of the signatory:	Click or tap here to enter text.
Position:	Choose an item. of the authorized insurer
Date:	Click or tap to enter a date.

Insurance Authority (“Authority”)

Personal Information Collection Statement (“PICS”)

This PICS is made by the Authority to comply with the notification requirements of the Personal Data (Privacy) Ordinance (Cap. 486) (the “PDPO”). You are advised to read it carefully as it sets out the policies and practices of the Authority in relation to your personal data (as defined in the PDPO), the purposes for which the Authority may collect and use your personal data and the persons to whom your personal data may be transferred.

Purpose of Collection

Your personal data provided in (and in support of or in connection to) the form by you or any other persons may be used and held by the Authority for one or more of the following purposes:

to administer and/or enforce the provisions of any relevant ordinances (including the Insurance Ordinance (Cap. 41) (the “Ordinance”)) and any regulations, rules, codes, guidelines, circulars or other regulatory instruments made or promulgated pursuant to the powers vested in the Authority as in force at the relevant time and to carry out its functions as a regulator of the insurance industry, including:

to process any application made to or received by the Authority under the Ordinance;

to assess your fitness and propriety in relation to any application or approval under the Ordinance;

to assess and monitor your fitness and propriety and your status for appointment or to remain to be appointed as controllers, shareholder controllers, directors, key persons in control functions and/or actuaries appointed (as the case may be) under the Ordinance;

to consider any application under the Ordinance where you may otherwise have a connection;

to investigate complaints and handle enquiries;

to conduct legal proceedings, inspection, investigation and/or other enforcement/disciplinary actions;

to co-operate with and assist other regulatory body and/or law enforcement body of Hong Kong or of any place outside Hong Kong, whenever appropriate, to the extent permitted by the laws of Hong Kong;

for any statistical and research purposes; and/or

any other purposes as permitted by the laws of Hong Kong.

You are obliged to supply the requested personal data where a specified requirement has been imposed upon you under the laws and regulations (including the Ordinance) or in response to any request from the Authority in exercising its powers or carrying out its functions. Failure to provide the requested personal data may result in the Authority being unable to exercise its powers or carrying out its functions under the Ordinance and/or other relevant laws and may affect the Authority’s assessment of your fitness and propriety under the Ordinance.

Transfer/Matching of Personal Data

In performing the Authority’s functions under the relevant laws and regulations, your personal data held by the Authority may, for the aforesaid purposes, be disclosed or transferred to any third parties, including financial regulators in Hong Kong (including but not limited to the Mandatory Provident Fund Schemes Authority, the Securities and Futures Commission and the Hong Kong Monetary Authority), educational institutions / examination bodies in or outside Hong Kong (e.g. for the purposes of verifying academic / professional qualifications), the relevant industry bodies (e.g. the Insurance Complaints Bureau, the Hong Kong Federation of Insurers, the Hong Kong Confederation of Insurance Brokers and the Professional Insurance Brokers Association), the relevant professional bodies (e.g. the Law Society of Hong Kong, the Hong Kong Bar Association, the Actuarial Society of Hong Kong and the Hong Kong Institute of Certified Public Accountants), law enforcement agencies, the relevant courts, tribunals and committees and/or other local and/or overseas regulatory/government/judicial bodies as permitted or required under the laws of Hong Kong, pursuant to any regulatory/supervisory/investigatory assistance arrangements between the Authority and such regulators/bodies (within or outside Hong Kong), or persons engaged by the Authority to assist it in the performance of its functions.

Personal data may be used by the Authority and/or disclosed or transferred by the Authority to the above parties for the purposes of comparing, verifying and/or carrying out a matching procedure of those data.

Access to Data

Under the PDPO, you have the right to request access to, and to request the correction of, your personal data held by the Authority. If you wish to request access to or correction of your personal data held by the Authority, you may do so by filling in a “Data Access Request Form” and sending it by post to the Data Privacy Officer of the Authority at 19/F, 41 Heung Yip Road, Wong Chuk Hang, Hong Kong. The Authority has the right to charge a reasonable fee for processing any such request.

Enquiries

Any enquiries regarding the personal data collected, used or transferred by the Authority, or requests for access to personal data or correction of personal data should be addressed in writing to the Data Privacy Officer of the Authority at the above address.

A copy of the Authority’s Privacy Policy is made available at the Authority’s website: www.ia.org.hk

The name as shown in your Hong Kong Identity Card or, for an individual not being a holder of Hong Kong Identity Card, the name as shown in your Passport.

Applicable to case (A)

The practising certificate number as shown in the practising certificate issued by any professional accounting bodies or independent regulators of the accounting profession.

The registration number as shown in the certificate of registration issued by any professional accounting bodies or independent regulators of the accounting profession.

Applicable to case (B)

For this purpose, please use Form IC-P09.

Applicable to case (A)

“matching procedure” is defined in section 2 of the PDPO.

A copy of the Data Access Request Form is available at: http://www.pcpd.org.hk/english/resources_centre/publications/forms/files/Dforme.pdf