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Broker_Code_Eng.pdf
... term 2 A contract of insurance includes a contract of reinsurance. September 2019 Page 10 business under the Ordinance; “minor offence” means an offence punishable by a fixed penalty under the Fixed Penalty (Traffic Contraventions) Ordinance (Cap. 237), the Fixed Penalty (Criminal Proceedings...
https://www.ia.org.hk/english/legislative_framework/files/Broker_Code_Eng.pdf -
Date: 2020-06-01
... the IA. The matters set forth herein do not constitute legal advice or create additional legal obligations beyond those contained in the Ordinance. 4.6 The IA may from time to time amend the whole or any part of this Code. 4.7 This Code comes into effect on 23 September 2019. September 2019 Page 10...
https://www.ia.org.hk/english/supervision/reg_ins_intermediaries/files/CodeofConductforLicensedInsuranceAgents.pdf -
Date: 2020-06-24
... term 2 A contract of insurance includes a contract of reinsurance. September 2019 Page 10 business under the Ordinance; “minor offence” means an offence punishable by a fixed penalty under the Fixed Penalty (Traffic Contraventions) Ordinance (Cap. 237), the Fixed Penalty (Criminal Proceedings...
https://www.ia.org.hk/english/supervision/reg_ins_intermediaries/files/CodeofConductforLicensedInsuranceBrokers.pdf -
Date: 2020-06-24
[PDF]
Agent_Code_Eng.pdf
... the IA. The matters set forth herein do not constitute legal advice or create additional legal obligations beyond those contained in the Ordinance. 4.6 The IA may from time to time amend the whole or any part of this Code. 4.7 This Code comes into effect on 23 September 2019. September 2019 Page 10...
https://www.ia.org.hk/english/supervision/reg_ins_intermediaries/files/Agent_Code_Eng.pdf -
Date: 2019-09-10
[PDF]
Broker_Code_Eng.pdf
... term 2 A contract of insurance includes a contract of reinsurance. September 2019 Page 10 business under the Ordinance; “minor offence” means an offence punishable by a fixed penalty under the Fixed Penalty (Traffic Contraventions) Ordinance (Cap. 237), the Fixed Penalty (Criminal Proceedings...
https://www.ia.org.hk/english/supervision/reg_ins_intermediaries/files/Broker_Code_Eng.pdf -
Date: 2019-09-10
... risks; and • the extent of CDD measures and ongoing monitoring is appropriate based on that customer’s ML/TF risks. Chapter 2 – Risk-based approach (RBA) 10 New products, new business practices and use of new technologies Risk assessment prior to the launch Launch of new products, new business practices...
https://www.ia.org.hk/english/supervision/antimoney_laundering/files/Recent_Update_on_GL3_2019.pdf -
Date: 2021-11-12
... risks; and • the extent of CDD measures and ongoing monitoring is appropriate based on that customer’s ML/TF risks. Chapter 2 – Risk-based approach (RBA) 10 New products, new business practices and use of new technologies Risk assessment prior to the launch Launch of new products, new business practices...
https://www.ia.org.hk/english/supervision/antimoney_laundering/files/Recent_Update_on_GL3_2019.pdf -
Date: 2022-04-27
... risks; and • the extent of CDD measures and ongoing monitoring is appropriate based on that customer’s ML/TF risks. Chapter 2 – Risk-based approach (RBA) 10 New products, new business practices and use of new technologies Risk assessment prior to the launch Launch of new products, new business practices...
https://www.ia.org.hk/english/supervision/antimoney_laundering/files/Recent_Update_on_GL3_2019.pdf -
Date: 2019-11-05
... broking creditors to individual client balances, AND shall report the findings of events leading to the fund deficiency in client accounts to CIB within the next ten (10) business days or on any other date with prior agreement of CIB. 4.7 Put in place appropriate policies and procedures, which may include...
https://www.ia.org.hk/english/supervision/reg_ins_intermediaries/files/1_CIB_GN11_Guidance_Note_on_Keeping_of_Separate_Client_Monies_v1_16_8_2013_eg19.pdf -
Date: 2019-12-20