... 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....

... formulated by the Board. A n n u a l R e p o r t 2 0 1 8 - 1 9 9 Corporate Governance 2 514 10 8 11 7 6 3 4 13 12 1 9 5 Ms Chitty Cheung Fung-ting Non-Executive Director 6 Mr Kenneth Kwok Tsun-wa Non-Executive Director 7 Mr Ma Ho-fai, GBS, JP Non-Executive Director 8 Mr James Wong Chien-kuo Non-Executive...

... formulated by the Board. A n n u a l R e p o r t 2 0 1 8 - 1 9 9 Corporate Governance 2 514 10 8 11 7 6 3 4 13 12 1 9 5 Ms Chitty Cheung Fung-ting Non-Executive Director 6 Mr Kenneth Kwok Tsun-wa Non-Executive Director 7 Mr Ma Ho-fai, GBS, JP Non-Executive Director 8 Mr James Wong Chien-kuo Non-Executive...

... formulated by the Board. A n n u a l R e p o r t 2 0 1 8 - 1 9 9 Corporate Governance 2 514 10 8 11 7 6 3 4 13 12 1 9 5 Ms Chitty Cheung Fung-ting Non-Executive Director 6 Mr Kenneth Kwok Tsun-wa Non-Executive Director 7 Mr Ma Ho-fai, GBS, JP Non-Executive Director 8 Mr James Wong Chien-kuo Non-Executive...

... 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...

... 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...

... Joint Financial Intelligence Unit Christine HUI Senior Inspector of Police 2014‐10‐09 Suspicious Transaction Reporting ©Hong Kong Police Force香港警務處版權所有 ©Ho ng K ong Poli ce Fo rce For Trai ning Pur pose s On ly 香港 警務 處版 權所 有 只用 作培 訓用 途 Joint Financial Intelligence Unit Important Notice All rights...