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Application_Form.pdf
... as possible. It will help us understand clearly the information you are seeking. Please use a separate sheet if necessary. 所需資料詳情，例如資料種類、資料日期或所涉及的期間。請盡量具體說明詳情，以便我們清 楚知道你所需要的資料。 如有需要，請另頁書寫。 Signature 簽署 ______________________________ Date 日期 _______________________ 2 (August 2018) Notes 備 註 1. A...
https://www.ia.org.hk/english/access_info/files/Application_Form.pdf -
Date: 2018-08-08
[PDF]
cir_aml_20171201.pdf
... from money laundering, financing of terrorism and WMD proliferation financing risks emanating from the DPRK. /… - 2 - You should follow the guidance specified in the FATF Statement and subject the transactions associated with the DPRK to increased scrutiny and enhanced due diligence. In addition, you...
https://www.ia.org.hk/english/legislative_framework/circulars/antimoney_laundering/files/cir_aml_20171201.pdf -
Date: 2018-01-15
... compliance of their appointed individual licensees to the IA by 31 October 2021. Further details are provided below. - 2 - Instructions for reporting by individual licensees to principals As stated, individual licensees must submit a duly completed CPD Declaration Form to their appointing principal by 30...
https://www.ia.org.hk/english/legislative_framework/circulars/reg_matters/files/Circular_CPD_Reporting_Procedures_01042021.pdf -
Date: 2021-12-10
... compliance of their appointed individual licensees to the IA by 31 October 2021. Further details are provided below. - 2 - Instructions for reporting by individual licensees to principals As stated, individual licensees must submit a duly completed CPD Declaration Form to their appointing principal by 30...
https://www.ia.org.hk/english/legislative_framework/circulars/reg_matters/files/Circular_CPD_Reporting_Procedures_01042021.pdf -
Date: 2021-09-09
[HTML]
Speeches / Articles
...; Ms Maria Tsui, Head of Enforcement; and Mr Alan Wu, Senior Manager, Market Conduct, at the ICG Seminar 2023 30/3/2023 Presentation by Mr Clement Cheung, Chief Executive Officer, at the Guy Carpenter 2023 CEO Forum 14/2/2023...
https://www.ia.org.hk/english/infocenter/speeches_articles.html -
Date: 2024-01-18
... ...
https://www.ia.org.hk/english/supervision/reg_ins_intermediaries/files/2a_GN7_GN_on_Compliance_CPD_v2_13_6_2005_20190823.pdf -
Date: 2019-12-20
... ...
https://www.ia.org.hk/english/supervision/reg_ins_intermediaries/files/2_PIBA_Guideline_on_IIQAS_CPD_Programme_v2_22_10_2012_eg19.pdf -
Date: 2019-12-20
... ...
https://www.ia.org.hk/english/supervision/reg_ins_intermediaries/files/2_PIBA_Membership_Withdrawal_Conditions_and_Requirements_v2_1_10_2005_eg19.pdf -
Date: 2019-12-20
... ...
https://www.ia.org.hk/english/supervision/reg_ins_intermediaries/files/2_PIBA_Memorandum_and_Articles_of_Association_v2_27_10_1994_eg19.pdf -
Date: 2019-12-20
... financial regulators. 1. † Has the Individual ever been registered with the Mandatory Provident Fund Schemes Authority (“MPFA”)? ☐ Yes (If Yes, please provide your MPF registration no.:___________________) ☐ No 2. † Has the Individual ever been licensed by the Securities and Futures Commission (“SFC...
https://www.ia.org.hk/english/infocenter/forms/files/Form_S5_Eng_June_2021.pdf -
Date: 2022-01-06