...: [email protected] How the IA handles your complaint All complaints will be treated in strict confidence. Upon receipt of your complaint, we will issue an acknowledgement to you within 10 working days. We will carefully examine the information provided by you and take appropriate follow- up actions if the matter is...

... individual licensee (except travel agents) is required to complete for the Assessment Period 2021/2022 (i.e. by 31 July 2022) is reduced by 3 CPD hours from 15 CPD hours to 12 CPD hours, but the 3 compulsory CPD hours on “Ethics or Regulations” remains unchanged, while travel agents are not required to earn...

... 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...

... broking debtors and insurance 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...

... 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...

... 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...

... 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...

... 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...