... public. On regulatory philosophy, I would venture to suggest that regulation is a balance between “voluntary compliance” and “command and control”. 14. In assessing the success of a regulatory regime, it is not so much about leniency or harshness in its approach. Rather, it is about doing the right things...

... Control Functions: • Risk Management • Financial Control • Compliance • Internal Audit • Actuarial • Intermediary Management Appointment of Key Person in Intermediary Management Function • Intermediary management function is to establish and maintain internal control measures for: – Administering...

... public. On regulatory philosophy, I would venture to suggest that regulation is a balance between “voluntary compliance” and “command and control”. 14. In assessing the success of a regulatory regime, it is not so much about leniency or harshness in its approach. Rather, it is about doing the right things...

... Control Functions: • Risk Management • Financial Control • Compliance • Internal Audit • Actuarial • Intermediary Management Appointment of Key Person in Intermediary Management Function • Intermediary management function is to establish and maintain internal control measures for: – Administering...

... _____________________________________________ ___________________ Signature of Proposed of Supervisor Account Owner Date V. Declaration by Principal I/We hereby declare and confirm that:  I am/We are duly authorized to endorse this declaration and make this Application for the Supervisor Account.  I/We believe the proposed Supervisor Account Owner is suitable to control...

... in size, complexity and scale of operation, as well as to assist them in designing systems to demonstrate compliance. Insurance brokers are advised to design and implement control procedures to ensure that client monies are identified and kept separately from brokers’ own monies, that client monies...

... their varying differences in size, complexity and scale of operation, as well as to assist them in designing systems to demonstrate compliance. Insurance brokers are advised to design and implement control procedures to ensure that client monies are identified and kept separately from brokers’ own...

... entities associated with the Al-Qaida organization (List D). Meanwhile, the US Government has designated an additional name under the Executive Order. The information can be found in the website of the Office of Foreign Assets Control of the US Treasury (www.ustreas.gov/offices/eotffc/ofac...

... of services to be provided, target market clientele and source of business; 15. Three reference letters issued by insurers for each of the proposed line(s) of business in support of the intended business relationship with the applicant; 16. Internal control policies and procedures (e.g. operational...