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⏴... 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...
https://www.ia.org.hk/english/supervision/reg_ins_intermediaries/files/2_CIB_GN11_Guidance_Note_on_Keeping_of_Separate_Client_Monies_v2_12_5_2015_eg19.pdf -
Date: 2019-12-20
... 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: 2021-12-14
... 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
... that it is carrying on any regulated activity, section 78(2) of the Ordinance states that the exemption in section 78(1) does not extend to the insurer’s agent. As a matter of law, an 10 employee is an agent of his/her employer. By reason of section 78(2), therefore, section 78(1) would not exempt...
https://www.ia.org.hk/english/legislative_framework/circulars/reg_matters/files/Explanatory_Note_on_Regulated_Activities.pdf -
Date: 2021-12-10
... that it is carrying on any regulated activity, section 78(2) of the Ordinance states that the exemption in section 78(1) does not extend to the insurer’s agent. As a matter of law, an 10 employee is an agent of his/her employer. By reason of section 78(2), therefore, section 78(1) would not exempt...
https://www.ia.org.hk/english/legislative_framework/files/Explanatory_Note_on_Regulated_Activities.pdf -
Date: 2021-10-12