...  73,382 5,189 78,571 Licensed Technical Representatives (Agent) *  22,493 1,169 23,662 Licensed Technical Representatives (Broker...

... illusion of trust August 2022 Issue 5 Self-reporting material matters: An integral part of any robust corporate governance framework Enforcement Update The...

... Resolutions as defined; or b) insure a ship registered in the DPRK, amongst others. Section 5G of the DPRK Regulation also prohibits a regulated person from provision of financial support (includes insurance) for trade with persons connected with the DPRK without a license. /… - 2 - Should you have any...

... Circular on GL21 5 July 2019 Our Ref: INS/TEC/6/20/6 Subfile IV By email only To: Chief Executives of all authorized insurers Dear Sirs, GL21: Guideline on Enterprise Risk Management I am writing to inform you that the Insurance Authority (“IA”) has published GL21 – Guideline on Enterprise Risk...

... in (1) above and the consequences in case of breach. 4. If deemed necessary, you should consult your own legal advisors. 5. The full set of the Act can be found at the official website of FSA at: http://www.fsa.go.jp/common/law/ins01.pdf Kind Regards Tommy Chan Secretary-General & Registrar The Hong...

... prescribed capital requirement (GPCR) and eligible group capital resources of the supervised group of the DIHC respectively in accordance with the Group Capital Rules, in particular Rules 4, 5 and 6. 2 Major acquisitions (section 95ZJ of the Ordinance) 2.1 According to section 95ZJ(1) of the Ordinance, a...

... - 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 Governance and...

... - 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 Governance and...

... - 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 Governance and...

... terrorist financing. Section 5(5) and (6) of the AMLO makes it a criminal offence if a financial institution knowingly, or with the intent to defraud the relevant authority, contravenes the above provision. 1 Section 25(4) of the OSCO stipulates that an indictable offence includes conduct outside Hong Kong...