... smaller issues, which individually may not justify a pecuniary penalty, but which do so when taken collectively; (x) whether the conduct is or was part of a more serious misconduct; (xi) in case of a responsible officer of a firm (i.e. a sole proprietor, partnership or company), or a person involved in...

... smaller issues, which individually may not justify a pecuniary penalty, but which do so when taken collectively; (x) whether the conduct is or was part of a more serious misconduct; (xi) in case of a responsible officer of a firm (i.e. a sole proprietor, partnership or company), or a person involved in...

... smaller issues, which individually may not justify a pecuniary penalty, but which do so when taken collectively; (x) whether the conduct is or was part of a more serious misconduct; (xi) in case of a responsible officer of a firm (i.e. a sole proprietor, partnership or company), or a person involved in...

... applicable only to and must be met by the Applicant: i. he was engaged in the travel agency business in Hong Kong immediately before 15 May 2006 and has not since ceased to be engaged in travel-related work in Hong Kong for two consecutive years; ii. he has proven relevant experience in travel agency...

... Circulars on Regulatory Matters 2021 Date Subject 10 December 2021 CPD Penalty Framework and CPD Compliance Reporting Merged CPD assessment period...

...: private or public reprimand; pecuniary penalty not exceeding the greater of HK$10 million or 3 times the profit gained or loss avoided as a result of the contravention; suspension of the authorization; revocation of the authorization; and prohibition of...

... 1 April 2022 Our Ref: INS/TEC/10/51 By e-mail only To: Chief Executives of all Authorized Insurers, Chief Executives of Designated Insurance Holding Companies, Responsible Officers of all Licensed Insurance Broker Companies and Responsible Officers of all Licensed Insurance Agencies Dear Sirs...

...) 每名個人持牌人須於 2021 年 9 月 30 日或之前匯報其於首兩個評核期內的持續 專業培訓合規情況。 本通函旨在載列上述(c)項的匯報程序。 持續專業培訓合規情況之匯報程序 如保監局於 2020 年 9 月 30 日發出的通函中所述，個人持牌人須經其主事人（即經獲 授權保險人、持牌保險代理機構及持牌保險經紀公司）匯報第一及第二個評核期的持 續專業培訓合規情況。為此，個人持牌人須於 2021 年 9 月 30 日或之前向其委任主事 2 人提交已填妥的《持續專業培訓聲明書》﹔而獲授權保險人、持牌保險代理機構及持 牌保險經紀公司則須於 2021 年 10 月 31 日或之前向保監局匯報獲其委任...

...) 每名個人持牌人須於 2021 年 9 月 30 日或之前匯報其於首兩個評核期內的持續 專業培訓合規情況。 本通函旨在載列上述(c)項的匯報程序。 持續專業培訓合規情況之匯報程序 如保監局於 2020 年 9 月 30 日發出的通函中所述，個人持牌人須經其主事人（即經獲 授權保險人、持牌保險代理機構及持牌保險經紀公司）匯報第一及第二個評核期的持 續專業培訓合規情況。為此，個人持牌人須於 2021 年 9 月 30 日或之前向其委任主事 2 人提交已填妥的《持續專業培訓聲明書》﹔而獲授權保險人、持牌保險代理機構及持 牌保險經紀公司則須於 2021 年 10 月 31 日或之前向保監局匯報獲其委任...