... (rather than a new product). Only change in product feature (e.g. premium term and/or frequency of coupon / bonus) is considered as new product. - 3 - Q 10. For current products, does it mean that the requirements of GN16 are not applicable until 1 January 2017? A 10. No. The additional leeway provided...

...  No If yes, give full particulars of the court by which he/she was convicted, the offence and the penalty imposed and the date of the conviction: 10 8. Has any application for becoming a member of any bodies of insurance brokers or other professional bodies been declined, refused or membership been...

...  No If yes, give full particulars of the court by which he/she was convicted, the offence and the penalty imposed and the date of the conviction: 10 8. Has any application for becoming a member of any bodies of insurance brokers or other professional bodies been declined, refused or membership been...

...  No If yes, give full particulars of the court by which he/she was convicted, the offence and the penalty imposed and the date of the conviction: 10 8. Has any application for becoming a member of any bodies of insurance brokers or other professional bodies been declined, refused or membership been...

... Remuneration Disclosure…..…………………………………………….. 9 8. Effective Controls and Procedures in relation to Suitability Checks and Product Disclosure…………………………… 11 9. Post-Sale Controls…………………………...……………. 12 10. Certification of Copies of FNA and RPQ………...……….. 13 11. Documentation and Record Keeping……………………... 14 12....

... Remuneration Disclosure…..…………………………………………….. 9 8. Effective Controls and Procedures in relation to Suitability Checks and Product Disclosure…………………………… 11 9. Post-Sale Controls…………………………...……………. 12 10. Certification of Copies of FNA and RPQ………...……….. 13 11. Documentation and Record Keeping……………………... 14 12....

... Remuneration Disclosure…..…………………………………………….. 9 8. Effective Controls and Procedures in relation to Suitability Checks and Product Disclosure…………………………… 11 9. Post-Sale Controls…………………………...……………. 12 10. Certification of Copies of FNA and RPQ………...……….. 13 11. Documentation and Record Keeping……………………... 14 12....

... Remuneration Disclosure…..…………………………………………….. 9 8. Effective Controls and Procedures in relation to Suitability Checks and Product Disclosure…………………………… 11 9. Post-Sale Controls…………………………...……………. 12 10. Certification of Copies of FNA and RPQ………...……….. 13 11. Documentation and Record Keeping……………………... 14 12....

... member of the supervised group. 10. Without limiting the IA’s discretion to exercise the powers under sections 95C and 95D of the IO, the IA hereby acknowledges that as a general principle, its intention is not to designate an HKMA regulated entity as a DIHC under section 95C of the IO, and not to...

... Framework”) I. Compliance with the CPD Requirements: Q1 – Q3 II. Reporting of CPD Compliance Records: Q4 – Q5 III. Imposition and Settlement of Pecuniary Fine: Q6 - Q7 IV. Waiver/Reduction of Penalty: Q8 V. Suspension or Revocation of Licence: Q9 – Q10 VI. Failure to submit or late in submitting the...