...授權保 險經紀公司) 保險業監管局 目錄 頁數 1. 引言 1 2. 保險業監管局行使施加罰款權力時的考慮因素 1 3. 生效日期 4 1 1. 引言 1.1. 保險業監管局(“保監局”)根據《打擊洗錢及恐怖分子資金 籌集條例》 (第 615 章 )(“條例” )第 23(1)條發出本指引。根 據條例第 21 條，如果經營長期業務或就長期業務提供意見 的獲授權保險人，及就長期業務進行受規管活動的持牌個 人、獲委任保險代理、持牌保險代理機構或持牌代理人及獲 授權保險經紀公司 (“保險機構”)違反條例第 5(11)條所 界定的指明條文，保監局可以只施加罰款，也可同時向該保 險機構施加其他紀律制裁...

... 保險業監管局 Insurance Authority 2019–20 ANNUAL REPORT Insurance Authority 19/F, 41 Heung Yip Road, Wong Chuk Hang, Hong Kong Tel: (852) 3899 9983 Fax: (852) 3899 9993 Website: www.ia.org.hk Leading Change and Propelling Growth conTenTs 2 Chairman’s message 4 CeO’s message The Year Under review 6...

... 保險業監管局 Insurance Authority 2019–20 ANNUAL REPORT Insurance Authority 19/F, 41 Heung Yip Road, Wong Chuk Hang, Hong Kong Tel: (852) 3899 9983 Fax: (852) 3899 9993 Website: www.ia.org.hk Leading Change and Propelling Growth conTenTs 2 Chairman’s message 4 CeO’s message The Year Under review 6...

... done in the correct order, with an FNA and RPQ at the heart of the process. 3 Effective date Member Companies which sell ILAS products are required to implement the Requirements as soon as practicable and in any event no later than 1 January 2016. 4 Requirements 4.1 Proper Sales Process The...

... should notify the Insurance Authority (“IA”) in writing forthwith of any subsequent changes relating to the information provided by that person in this form. 4. A completed “Authorization Form to the Commissioner of Police” shall accompany this form. Notes on Personal Information Collection 1. The...

... should notify the Insurance Authority (“IA”) in writing forthwith of any subsequent changes relating to the information provided by that person in this form. 4. A completed “Authorization Form to the Commissioner of Police” shall accompany this form. Notes on Personal Information Collection 1. The...

... should notify the Insurance Authority (“IA”) in writing forthwith of any subsequent changes relating to the information provided by that person in this form. 4. A completed “Authorization Form to the Commissioner of Police” shall accompany this form. Notes on Personal Information Collection 1. The...

... professional competence and standard in providing advice and service to the policy holders and potential policy holders. CPD Requirements 3. Except for travel insurance agents, their responsible officers and technical representatives (requirements are specified in paragraph 4), all insurance intermediaries are...