... Pursuant to section 113(4)(d) of Schedule 11 to the Insurance Ordinance, in handling non-compliance cases unresolved by the Self-Regulatory Organisations (SROs), the IA may impose a disciplinary sanction on a specified person that could have been imposed by the SRO concerned had the case been handled by...

... causing mass destruction or that will or may assist the means of delivery of such weapons. Section 4 of WMD(CPS)O prohibits a person from providing any services where he believes or suspects, on reasonable grounds, that those services may be connected to financing of proliferation of weapons of mass...

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... the customers as collateral for loan facility. 2 assessment (which should be explained to the customer) must at a minimum, ascertain whether the customer has sufficient financial resources to – (a) pay at the outset the portion of the premium not financed by the premium financing facility4; (b) meet...

... supervisory tool to gauge the level of compliance by insurers • Routine and thematic inspection visits conducted to more than 20 insurers since April 2012 Presenter Presentation Notes Key Areas for Improvement: 1. Senior Management Oversight 2. Compliance Functions 3. Customer Risk Assessment 4. CDD Process...

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