...’s insurance policy? A5. No. Under section 71(4) of the IO, client monies relating to a client may only be used for the purposes of that client. Q6. What follow-up action should be taken by a licensed insurance broker company if irregularities are identified when performing bank reconciliation of its...

... All applicants should also complete Form IA-IB5 and, if applicable, Form IA-IB6 in respect of each of their chief executives and technical representatives respectively. (one form for each person) Notes on Completion of this Form 1. If there is insufficient space to complete the answer to any question...

...’s insurance policy? A5. No. Under section 71(4) of the IO, client monies relating to a client may only be used for the purposes of that client. Q6. What follow-up action should be taken by a licensed insurance broker company if irregularities are identified when performing bank reconciliation of its...

...……………………………………….….. 3 6. Supervisory Approach…………………………….……... 14 7. Commencement………………………………………….. 15 Annex Examples of Outsourcing …………………………….…. 1 Prior Notification of Material Outsourcing Arrangement – Checklist of Information to be Submitted to the Insurance Authority for Entering into an Outsourcing Arrangement...

... “Fit and Proper” Persons …..….. 6 4. Criteria for Individual Person ………………………..….. 7 5. Criteria for Body Corporate …..…………………..…….. 12 6. Effective Date…………………………………………... 14 Summary of Prior Approval/No Objection Requirements for Appointments of Certain Positions under the Insurance Ordinance (Cap....

... Y N The Code of Practice for the Administration of Insurance Agents (Sixth Edition) 保險代理管理守則 (第6版) 6 1 June 2004...

... Guideline. For the avoidance of doubt, the requirements set out in this document are not applicable to E- learning Activities which form a part of a Type 2, 3, 4, 5, 6 or 8 Qualified CPD Activities. Unless otherwise specified, words and expressions used in this document shall have the same meanings as given...