...公訴罪行有關的情況下使 用，或為恐怖分子財產，而未能在合理範圍內盡快作出 披露，即屬犯罪。如犯此罪，一經定罪，最高刑罰為監 禁 3 個月及罰款 50,000 元。 《販毒(追討得益 ) 條例》及《有組 織及嚴重罪行條 例》第 25A 條， 《聯合國 (反恐怖 主義措施 )條例》 第 12 及 14 條 1.30 根據《販毒 (追討得益 )條例》、《有組織及嚴重罪行條 例》及《聯合國 (反恐怖主義措施 )條例》，「通風報 訊」亦屬犯罪。任何人如知悉或懷疑已作出披露，而仍 向其他人披露任何相當可能損害或會因應首述披露而進 行的任何調查的事宜，即屬犯罪。如犯此罪，一經定 罪，最高刑罰為監禁 3 年及...

... Guideline on Enterprise Risk Management GL21 GUIDELINE ON ENTERPRISE RISK MANAGEMENT Insurance Authority Table of Contents Page 1. Introduction 1 2. Application 3 3. Overview of Enterprise Risk Management (ERM) Framework and General Requirements 4 4. Governance 7 5. Risk Appetite Statement 12 6. Em...

... Guideline on Enterprise Risk Management GL21 GUIDELINE ON ENTERPRISE RISK MANAGEMENT Insurance Authority Table of Contents Page 1. Introduction 1 2. Application 3 3. Overview of Enterprise Risk Management (ERM) Framework and General Requirements 4 4. Governance 7 5. Risk Appetite Statement 12 6. Em...

... Draft Guideline on Enterprise Risk Management ANNEX DRAFT FOR CONSULTATION PURPOSES ONLY GUIDELINE ON ENTERPRISE RISK MANAGEMENT Insurance Authority Table of Contents Page 1. Introduction 1 2. Application 3 3. Overview of Enterprise Risk Management (ERM) Framework and General Requirements 4 4. Gove...

... regulated activity during the training session. Q12:A senior manager of an authorized insurer who is an experienced insurance practitioner is invited by an education institute to give a presentation on a specific type of insurance product in an educational seminar. Is the senior manager required to be...

... regulated activity during the training session. Q12:A senior manager of an authorized insurer who is an experienced insurance practitioner is invited by an education institute to give a presentation on a specific type of insurance product in an educational seminar. Is the senior manager required to be...

... regulated activity during the training session. Q12:A senior manager of an authorized insurer who is an experienced insurance practitioner is invited by an education institute to give a presentation on a specific type of insurance product in an educational seminar. Is the senior manager required to be...

..., and procure client to acknowledge receipt thereof in writing and such written acknowledgment should be kept in the client file. Member is also recommended to explain to client in writing the type of services being or to be provided or offered. 7.2 Member should take reasonable steps to ensure that all...

... differentiation, a specific set of Important Facts Statement must be prepared for this purpose and must be used for business introduced from this type of intermediary. For the avoidance of doubt, however, Member Companies must still follow the requirement under 7.8 of the GN15 during the underwriting process for...

... the Board…………...……… 8 6. Board Matters…………………………………………...... 11 7. Risk Management and Internal Control Systems…........... 13 8. Committees…..………………………………................... 21 9. Remuneration Matters…..…………………...................... 25 10. Servicing of Customers…..………………….................... 30 11....