... Principle 3 - Exercising Care, Skill and Diligence IV. General Principle 4 - Competence to Advise V. General Principle 5 - Disclosure of Information VI. General Principle 6 - Suitability of Advice VII. General Principle 7 - Conflicts of Interest VIII. General Principle 8 - Client Assets IX. Corporate...

... United Nations (Anti-Terrorism Measures) Ordinance 保險業監理處 香港金鐘道六十六號 金鐘道政府合署二十一樓 OFFICE OF THE COMMISSIONER OF INSURANCE 21st Floor, Queensway Government Offices, 66 Queensway, Hong Kong 圖文傳真 Fax: (852) 2869 0252 覆函請註明本處檔號 In reply please quote this ref. INS/TEC/6/45 來函檔號 Your ref. 電 話 Tel. 2867...

... Government has designated additional names under the Executive Order issued on 23 September 2001. The latest lists can be found in the website of the US Treasury (www.ustreas.gov/offices/enforcement/ofac/sanctions/terrorism.html) under names designated on 6 November 2002, 19 November 2002 and 22 November...

... subject to higher levels of responsibility under the new regime. The IA proposes to raise the minimum CPD hours requirement for individual licensees from 10 hours to 15 hours per annum, of which at least 3 hours must relate to ethics or regulations. Online or e-learning courses will be...

... Senior Management Oversight 6 • Detailed analysis of data identified within each of the categories of ML/TF risks • Document the risk assessment with periodic review and update • Communicate the risk assessment to the Board, senior management and relevant staff ML/TF Risk Assessment at Insurance...

... Senior Management Oversight 6 • Detailed analysis of data identified within each of the categories of ML/TF risks • Document the risk assessment with periodic review and update • Communicate the risk assessment to the Board, senior management and relevant staff ML/TF Risk Assessment at Insurance...

... for individual licensees (except travel agents) is 15 CPD hours for each Assessment Period, including a minimum of 3 compulsory CPD hours on “Ethics or Regulations” courses. Travel agents are only required to undertake a minimum of 3 CPD hours for each Assessment Period, with no compulsory...

... assets are sufficient to meet your financial needs for five years, you may need a QDAP with only a 15-year annuity period. The QDAP is a long-term insurance product. Early surrender or termination of the policy may incur a financial loss. Assuming the same total premiums, if your liquidity is...

... Senior Management Oversight 6 • Detailed analysis of data identified within each of the categories of ML/TF risks • Document the risk assessment with periodic review and update • Communicate the risk assessment to the Board, senior management and relevant staff ML/TF Risk Assessment at Insurance...

... that require external support (e.g. raising additional capital or support from any group company). Management actions should meet the criteria outlined in GL21 paragraph 6.4.5. Once appropriate management actions have been determined, the general business insurer should assess the positive impact on...