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Appendix_B.PDF
... Corruption Perceptions Index ，以評估哪些國家最容易涉及貪污情況)。 有效管控 2.9 為確保適當執行該等政策及程序，金融機構應制訂有效管控措 施，涵蓋範疇包括： (a) 高級管理層的監督； (b) 委任一名合規主任及一名洗錢報告主任4； (c) 合規及審核職能；及 (d) 職員甄選及培訓5。 高級管理層的監督 4 洗錢報告主任的職責及職能詳載於第7.19-7.30段。就某些金融機構而言，合規主任及洗錢報 告主任的職能可由同一職員履行。 5 有關職員培訓的其他導引，請參閱第9章。 17 2.10 任何金融機構的高級管理層都有責任有效管理業務；就打擊洗 錢/恐怖分子資金籌集而言，這包括...
https://www.ia.org.hk/english/legislative_framework/circulars/antimoney_laundering/files/Appendix_B.PDF -
Date: 2019-02-01
...? Feedback received 30. A majority of respondents supported the proposed client account reconciliation requirements although some respondents considered it more appropriate to perform such reconciliation on a quarterly basis or as and when appropriate/necessary. Those objecting to the reconciliation...
https://www.ia.org.hk/english/infocenter/files/Broker_Rules_Conclusions_Eng.pdf -
Date: 2019-09-03
...? Feedback received 30. A majority of respondents supported the proposed client account reconciliation requirements although some respondents considered it more appropriate to perform such reconciliation on a quarterly basis or as and when appropriate/necessary. Those objecting to the reconciliation...
https://www.ia.org.hk/english/infocenter/files/final_Broker_Rules_Conclusions_Eng.pdf -
Date: 2019-09-03
...? Feedback received 30. A majority of respondents supported the proposed client account reconciliation requirements although some respondents considered it more appropriate to perform such reconciliation on a quarterly basis or as and when appropriate/necessary. Those objecting to the reconciliation...
https://www.ia.org.hk/english/supervision/reg_ins_intermediaries/files/Broker_Rules_Conclusions_Eng.pdf -
Date: 2019-09-10
...? Feedback received 30. A majority of respondents supported the proposed client account reconciliation requirements although some respondents considered it more appropriate to perform such reconciliation on a quarterly basis or as and when appropriate/necessary. Those objecting to the reconciliation...
https://www.ia.org.hk/english/supervision/reg_ins_intermediaries/files/final_Broker_Rules_Conclusions_Eng.pdf -
Date: 2019-09-10
... insurance intermediary’s application to vary the type of regulated activity as specified in the licence of the SFC-licensed corporation; (iii) an authorized insurer or a licensed insurance intermediary’s application for approval to be a substantial 9 shareholder of an SFC-licensed corporation; and (iv) an...
https://www.ia.org.hk/english/supervision/int_dom_cooperation/files/MOU_between_SFC_and_IA_final_28Sep2020.pdf -
Date: 2020-09-28
... insurance intermediary’s application to vary the type of regulated activity as specified in the licence of the SFC-licensed corporation; (iii) an authorized insurer or a licensed insurance intermediary’s application for approval to be a substantial 9 shareholder of an SFC-licensed corporation; and (iv) an...
https://www.ia.org.hk/english/supervision/int_dom_cooperation/files/MOU_between_SFC_and_IA_final_28Sep2020.pdf -
Date: 2021-11-01
... insurance intermediary’s application to vary the type of regulated activity as specified in the licence of the SFC-licensed corporation; (iii) an authorized insurer or a licensed insurance intermediary’s application for approval to be a substantial 9 shareholder of an SFC-licensed corporation; and (iv) an...
https://www.ia.org.hk/english/supervision/int_dom_cooperation/files/MOU_between_SFC_and_IA_final_28Sep2020.pdf -
Date: 2021-09-01