... Schemes issued by the Securities and Futures Commission. 3.2 This Guideline does not have the force of law, in the sense that it is not subsidiary legislation, and should not be interpreted in a way that would override the provision of any law. A non-compliance with the provisions 5 in this Guideline...

.../publications/high-risk-and-other-monitored-jurisdictions/documents/public-statement-october-2019.html - 2 - You should give special attention to business relationships and transactions with the DPRK, including DPRK companies, financial institutions and those acting on their behalf, and subject them to...

... Page 1 of 2 Practice Note supplementing Standard and Practice 7.1 of the Code of Conduct for Licensed Insurance Brokers in relation to Disclosure Requirements for Remuneration received by a Licensed Insurance Broker Company from an Insurer A. Introduction 1. Standard and Practice 7.1 of the Code...

... Page 1 of 2 Practice Note supplementing Standard and Practice 7.1 of the Code of Conduct for Licensed Insurance Brokers in relation to Disclosure Requirements for Remuneration received by a Licensed Insurance Broker Company from an Insurer A. Introduction 1. Standard and Practice 7.1 of the Code...

... regular basis. Sufficiently regular basis in this regard will depend on the size and complexity of the broker’s operations and further guidance on this is included below. 2. In developing systems of control brokers should have regard to the following control objectives: 2.1 Control objectives over...

... intermediaries are advised to seek professional legal advice if they have any questions relating to the application or interpretation of the relevant provisions of the Guideline. These Interpretation Notes do not have the force of law and should not be interpreted in a way that would override the provision of...

... intermediaries are advised to seek professional legal advice if they have any questions relating to the application or interpretation of the relevant provisions of the Guideline. These Interpretation Notes do not have the force of law and should not be interpreted in a way that would override the provision of...

... this Guidance Note on Annual Certification for Adequate Professional Indemnity Insurance. Background CIB Membership Regulation 5.2 requires our Members to maintain Professional Indemnity Insurance (“PII”) with a minimum limit of indemnity determined with reference to their insurance brokerage income...