... 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...

... under the UNSO.   Weapons of Mass Destruction (Control of Provision of Services) Ordinance (Cap.526) (the “WMD(CPS)O”) The WMD(CPS)O controls the provision of services that will or may assist the development, production, acquisition or stockpiling of weapons capable of...

... 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...

... information can be found in the website of the Office of Foreign Assets Control of the US Treasury www.ustreas.gov/offices/eotffc/ofac/sanctions/terrorism.html under the heading of "Name of Individual Designated" on 18 March 2004. In addition, relating to an entity, Ansar al-Islam...

...), and will be held at the Lecture Theatre of the Hong Kong Central Library, Causeway Bay. You and your company representatives (e.g. Compliance Officers, Money Laundering Reporting Officers, and/or relevant managing personnel with the responsibility to /… - 2 - implement AML/CTF systems and control...

... structure for their intermediaries do not create misaligned incentives for the intermediaries. Also, the industry has adopted the formulation stipulated by the IA in calculating and disclosing the remuneration for each ILAS product and distribution channel. Post-sale Control: To reaffirm...

... Academic Degrees and Graduate Education Development Center (CDGDC) Ref: MC/INT 1 August 2017 Page 2 As the requirements in relation to key persons in control functions prescribed in section 13AE of the Ordinance have become effective since 26 June 2017, the IA also wishes to remind the key persons in...

... Observation • No evidence that PEP / terrorist checking (such as making reference to publicly available information and screening against current terrorist and sanctions designations) was performed against the customers. • Use of third party vendor to conduct comprehensive screening (Ref: Guideline paragraph...

... Observation • No evidence that PEP / terrorist checking (such as making reference to publicly available information and screening against current terrorist and sanctions designations) was performed against the customers. • Use of third party vendor to conduct comprehensive screening (Ref: Guideline paragraph...

... Observation • No evidence that PEP / terrorist checking (such as making reference to publicly available information and screening against current terrorist and sanctions designations) was performed against the customers. • Use of third party vendor to conduct comprehensive screening (Ref: Guideline paragraph...