... an Assessment Period, the total CPD hours required (and the compulsory hours on “Ethics or Regulations”) are calculated on a pro-rata basis depending on the month in which the relevant licence is granted by the IA. Please see Annex 2 of GL24: Guideline on Continuing Professional Development for...

..., the person is a terrorist or terrorist associate. /… - 2 - (2) United Nations Sanctions (Democratic People’s Republic of Korea) Regulation An updated list of relevant persons and entities has been specified under section 31 of the United Nations Sanctions (Democratic People’s Republic of Korea...

..., directly or indirectly, entitled to exercise or control the exercise of not less than 15% of the voting rights at general meetings of the company; or (iii) exercises ultimate control over the management of the company. 2 Form S6 II. Other Licence(s) Granted by Financial Regulators Please provide the...

..., directly or indirectly, entitled to exercise or control the exercise of not less than 15% of the voting rights at general meetings of the company; or (iii) exercises ultimate control over the management of the company. 2 Form S6 II. Other Licence(s) Granted by Financial Regulators Please provide the...

... the person. 2. Pursuant to the new section 83 of the Ordinance, the IA must not exercise its power under section 81 to impose a pecuniary penalty unless it has published, in the Gazette and in any other manner it considers appropriate, guidelines to indicate the way in which it proposes to exercise...

... the person. 2. Pursuant to the new section 83 of the Ordinance, the IA must not exercise its power under section 81 to impose a pecuniary penalty unless it has published, in the Gazette and in any other manner it considers appropriate, guidelines to indicate the way in which it proposes to exercise...

... April 2013 pertaining to the Sale of Investment Linked Assurance Scheme (“ILAS”) issued by the Life Insurance Council of the Hong Kong Federation of Insurers (“HKFI”). The Insurance Authority considers it necessary for these requirements to be enhanced to protect further ILAS customers. 2 Purpose The...

... our statutory function of protecting policy holders.” In this connection, the IA has formulated two sets of rules2 which will take effect on 23 September 2019, subject to the progress of scrutiny by the Legislative Council. A suite of codes and guidelines for licensed insurance...

... Professional Development (CPD) training, codes of conduct, and minimum capital and net asset requirements for broker companies. The IA is also responsible for handling complaints related to the conduct of insurance intermediaries2, conducting investigation into alleged cases of non-compliance, and taking...

... This paper updates two earlier FATF guidance papers: The Implementation of Financial Provisions of United Nations Security Council Resolutions to Counter the Proliferation of Weapons of Mass Destruction (2013) and Best Practices Paper to Recommendation 2 Information Sharing and Exchange Related to the...