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⏭... approach to doing this, but an approach to consider would include the following steps: Organizational culture, in a business context, means the values and norms that are shared by people who work for or represent a company, demonstrated through the way they interact with clients. CONDUCT IN FOCUS 10...
https://www.ia.org.hk/english/infocenter/files/Conduct_In_Focus_English.pdf -
Date: 2022-05-24
... conviction on indictment to a fine of $1,000,000 and to imprisonment for 5 years or liable on summary conviction to a fine of up to level 6 (i.e. $100,000 at present) and to imprisonment for 6 months. • Auditor Requirement – fine of up to level 3 (i.e. $10,000 at present) and if the offence continues, a...
https://www.ia.org.hk/english/legislative_framework/circulars/reg_matters/files/Cir_Brokers_dd_18122020.pdf -
Date: 2020-12-21
[PDF]
cir_broker_20180427.pdf
... and maintain proper monitoring controls and procedures regarding the submission of Confirmation Form so as to ensure their SIs’ compliance with the MPF Conduct Guidelines. Annex Page 10 of 11 C4 Provision of Copies of Completed Forms to Clients In accordance with paragraph III.3 of the MPF Conduct...
https://www.ia.org.hk/english/legislative_framework/circulars/reg_matters/files/cir_broker_20180427.pdf -
Date: 2018-11-30
[PDF]
cir_aml_20170223.pdf
...://www.un.org/sc/suborg/en/sanctions/un-sc-consolidated-list (https://www.un.org/sc/suborg/en/sanctions/un-sc- consolidated-list). For information media. Not an official record. 1 / 1Security Council Isil (Da’esh) and Al-Qaida Sanctions Committee Amends One Entry on Its ... 2017/2/10https://www.un.org/press/en...
https://www.ia.org.hk/english/legislative_framework/circulars/antimoney_laundering/files/cir_aml_20170223.pdf -
Date: 2018-01-15
[PDF]
ENG_CIF_3.pdf
... client, V. By taking disciplinary action against insurance intermediaries who contravene these requirements, the IA will protect policyholders, ensure insurance intermediaries like Belinda are supported and reinforce the trust on which the insurance market needs to be founded. CONDUCT IN FOCUS 10 On 25...
https://www.ia.org.hk/english/infocenter/files/ENG_CIF_3.pdf -
Date: 2021-12-14
[PDF]
ENG_CIF_3.pdf
... client, V. By taking disciplinary action against insurance intermediaries who contravene these requirements, the IA will protect policyholders, ensure insurance intermediaries like Belinda are supported and reinforce the trust on which the insurance market needs to be founded. CONDUCT IN FOCUS 10 On 25...
https://www.ia.org.hk/english/infocenter/files/ENG_CIF_3.pdf -
Date: 2022-05-24
... (ii) the conduct of any Member or of any Chief Executive or any director or employee of a Member may be injurious to the character and interests or prejudicial to the objects of the Association; or 10 (iii) a complaint has been made to the Association by or on behalf of a member of the public...
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