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⏭... compliance function (e.g. delayed by over 9 months) Staff turnover and tight manpower resources in compliance function. Recommendations: Deploy adequate resources in compliance function at all times Regularly conduct compliance reviews as planned Specify completion timeline and avoid slippage and...
https://www.ia.org.hk/english/supervision/antimoney_laundering/files/IA_AML_findings_briefing_20180531.pdf -
Date: 2022-04-27
... compliance function (e.g. delayed by over 9 months) Staff turnover and tight manpower resources in compliance function. Recommendations: Deploy adequate resources in compliance function at all times Regularly conduct compliance reviews as planned Specify completion timeline and avoid slippage and...
https://www.ia.org.hk/english/supervision/antimoney_laundering/files/IA_AML_findings_briefing_20180531.pdf -
Date: 2019-11-05
... that the 9 IA has requested the information and the fact that the information has been provided to the IA cannot be disclosed. Q8: How do I obtain consent from the IA for disclosing information that is subject to the non- disclosure provisions under section 121 of the Ordinance? A8: You may make an...
https://www.ia.org.hk/english/legislative_framework/files/Explanatory_Note_on_Section_121_of_the_Insurance_Ordinance.pdf -
Date: 2021-10-12
... that the 9 IA has requested the information and the fact that the information has been provided to the IA cannot be disclosed. Q8: How do I obtain consent from the IA for disclosing information that is subject to the non- disclosure provisions under section 121 of the Ordinance? A8: You may make an...
https://www.ia.org.hk/english/legislative_framework/files/Explanatory_Note_on_Section_121_of_the_Insurance_Ordinance.pdf -
Date: 2020-07-06
...”) Requirements – CPD Compliance Reporting Procedures for Assessment Periods 2019/20 and 2020/21 As you will know from our circulars dated 12 June 2020 and 30 September 2020, the Insurance Authority (“IA”) has merged the CPD assessment period for 23 September 2019 to 31 July 2020 (“the First Assessment Period...
https://www.ia.org.hk/english/legislative_framework/circulars/reg_matters/files/Circular_CPD_Reporting_Procedures_01042021.pdf -
Date: 2021-12-10
...”) Requirements – CPD Compliance Reporting Procedures for Assessment Periods 2019/20 and 2020/21 As you will know from our circulars dated 12 June 2020 and 30 September 2020, the Insurance Authority (“IA”) has merged the CPD assessment period for 23 September 2019 to 31 July 2020 (“the First Assessment Period...
https://www.ia.org.hk/english/legislative_framework/circulars/reg_matters/files/Circular_CPD_Reporting_Procedures_01042021.pdf -
Date: 2021-09-09
[PDF]
Agent_Code_Eng.pdf
... authorized institution) or the Privacy Commissioner for Personal Data (in relation to personal data collected or used September 2019 Page 9 by the agent in carrying on regulated activities). 4. Status of this Code and effect of a breach of this Code 4.1 A failure by a licensed insurance agent to comply with...
https://www.ia.org.hk/english/legislative_framework/files/Agent_Code_Eng.pdf -
Date: 2020-06-01
[PDF]
Broker_Code_Eng.pdf
... 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 9 Part B Interpretation The defined terms in this section shall bear their stated meaning in...
https://www.ia.org.hk/english/legislative_framework/files/Broker_Code_Eng.pdf -
Date: 2020-06-01
... authorized institution) or the Privacy Commissioner for Personal Data (in relation to personal data collected or used September 2019 Page 9 by the agent in carrying on regulated activities). 4. Status of this Code and effect of a breach of this Code 4.1 A failure by a licensed insurance agent to comply with...
https://www.ia.org.hk/english/supervision/reg_ins_intermediaries/files/CodeofConductforLicensedInsuranceAgents.pdf -
Date: 2020-06-24
... 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 9 Part B Interpretation The defined terms in this section shall bear their stated meaning in...
https://www.ia.org.hk/english/supervision/reg_ins_intermediaries/files/CodeofConductforLicensedInsuranceBrokers.pdf -
Date: 2020-06-24