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⏭... documentary proof of continued compliance with the membership requirements, for example, audited certificate as to net worth; evidences of maintaining proper professional indemnity insurance; maintenance of proper books and nominated clients accounts. (b) The Association shall have the right to request for...
https://www.ia.org.hk/english/supervision/reg_ins_intermediaries/files/5_PIBA_Membership_Regulations_v5_15_4_2013_eg19.pdf -
Date: 2019-12-20
... Code applies. Form and Duration of Maintenance 11.1 Records could either be kept in physical form or in scanned electronic form (for copy documents), and should be maintained for at least 7 years. If the records are related to a particular ILAS policy of client, the 7-year period will be counted from...
https://www.ia.org.hk/english/supervision/reg_ins_intermediaries/files/2_PIBA_CoC_Inv._Linked_Busi._v2_20_12_2013_eg19.pdf -
Date: 2019-12-20
... into a client account such monies as may be necessary for the opening or maintenance of the account and such monies are taken to be client monies for this purpose. (7) No monies other than monies described under subrules (5) and (6) may be paid into a client account maintained by a licensed insurance...
https://www.ia.org.hk/english/infocenter/files/Broker_Rules_Conclusions_Eng.pdf -
Date: 2019-09-03
... into a client account such monies as may be necessary for the opening or maintenance of the account and such monies are taken to be client monies for this purpose. (7) No monies other than monies described under subrules (5) and (6) may be paid into a client account maintained by a licensed insurance...
https://www.ia.org.hk/english/infocenter/files/final_Broker_Rules_Conclusions_Eng.pdf -
Date: 2019-09-03
... into a client account such monies as may be necessary for the opening or maintenance of the account and such monies are taken to be client monies for this purpose. (7) No monies other than monies described under subrules (5) and (6) may be paid into a client account maintained by a licensed insurance...
https://www.ia.org.hk/english/supervision/reg_ins_intermediaries/files/Broker_Rules_Conclusions_Eng.pdf -
Date: 2019-09-10
... into a client account such monies as may be necessary for the opening or maintenance of the account and such monies are taken to be client monies for this purpose. (7) No monies other than monies described under subrules (5) and (6) may be paid into a client account maintained by a licensed insurance...
https://www.ia.org.hk/english/supervision/reg_ins_intermediaries/files/final_Broker_Rules_Conclusions_Eng.pdf -
Date: 2019-09-10
[PDF]
GL3_AML_Eng.pdf
... for implementing effective AML/CFT Systems that can adequately manage the ML/TF risks identified. In particular, the senior management should appoint a CO at the management level to have the overall responsibility for the establishment and maintenance of the II’s AML/CFT Systems; and a senior staff as...
https://www.ia.org.hk/english/supervision/reg_ins_intermediaries/files/GL3_AML_Eng.pdf -
Date: 2020-06-16
[PDF]
GL3_Eng.pdf
... for implementing effective AML/CFT Systems that can adequately manage the ML/TF risks identified. In particular, the senior management should appoint a CO at the management level to have the overall responsibility for the establishment and maintenance of the II’s AML/CFT Systems; and a senior staff as...
https://www.ia.org.hk/english/legislative_framework/files/GL3_Eng.pdf -
Date: 2020-09-24
[PDF]
GL3_Appendix_A.pdf
... for implementing effective AML/CFT Systems that can adequately manage the ML/TF risks identified. In particular, the senior management should appoint a CO at the management level to have the overall responsibility for the establishment and maintenance of the II’s AML/CFT Systems; and a senior staff as...
https://www.ia.org.hk/english/legislative_framework/circulars/antimoney_laundering/files/GL3_Appendix_A.pdf -
Date: 2019-02-01