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Broker_Code_Eng.pdf
... Principle 3 - Exercising Care, Skill and Diligence IV. General Principle 4 - Competence to Advise V. General Principle 5 - Disclosure of Information VI. General Principle 6 - Suitability of Advice VII. General Principle 7 - Conflicts of Interest VIII. General Principle 8 - Client Assets IX. Corporate...
https://www.ia.org.hk/english/supervision/reg_ins_intermediaries/files/Broker_Code_Eng.pdf -
Date: 2019-09-10
[PDF]
cir_aml_20180518.pdf
...) and 2253 (2015), as well as the Resolution 1988 (2011) (the Committees) I, John K C Lee, the Secretary for Security, pursuant to – (a) section 4(1), (2) and (6) of the United Nations (Anti-Terrorism Measures) Ordinance (Chapter 575) and all other powers conferred upon me; and (b) the delegation dated...
https://www.ia.org.hk/english/legislative_framework/circulars/antimoney_laundering/files/cir_aml_20180518.pdf -
Date: 2019-02-01
[PDF]
GL19.pdf
... Certification Process ................................................................................................ 3 6. Other Requirements ................................................................................................. 4 7. Commencement...
https://www.ia.org.hk/english/legislative_framework/files/GL19.pdf -
Date: 2020-09-24
[PDF]
GL19.pdf
... Certification Process ................................................................................................ 3 6. Other Requirements ................................................................................................. 4 7. Commencement...
https://www.ia.org.hk/english/legislative_framework/circulars/reg_matters/files/GL19.pdf -
Date: 2019-11-29
[PDF]
egn2019232121.pdf
... (1999), 1989 (2011) and 2253 (2015), as well as the Resolution 1988 (2011) (the Committees) I, John K C Lee, the Secretary for Security, pursuant to:— (a) section 4(1), (2) and (6) of the United Nations (Anti-Terrorism Measures) Ordinance (Chapter 575) and all other powers conferred upon me; and (b) the...
https://www.ia.org.hk/english/legislative_framework/circulars/antimoney_laundering/files/egn2019232121.pdf -
Date: 2019-12-24
[PDF]
egn2019232222.pdf
... (1999), 1989 (2011) and 2253 (2015), as well as the Resolution 1988 (2011) (the Committees) I, John K C Lee, the Secretary for Security, pursuant to:— (a) section 4(1), (2) and (6) of the United Nations (Anti-Terrorism Measures) Ordinance (Chapter 575) and all other powers conferred upon me; and (b) the...
https://www.ia.org.hk/english/legislative_framework/circulars/antimoney_laundering/files/egn2019232222.pdf -
Date: 2019-12-24
... 20190913_093014.pdf ...
https://www.ia.org.hk/english/legislative_framework/circulars/reg_matters/files/Circular_to_insurers_re_6_sets_of_guidelines.pdf -
Date: 2019-11-29
...No Content...
https://www.ia.org.hk/english/legislative_framework/circulars/reg_matters/files/Cir_dd_12.6.2024_41R_Appendixes.pdf -
Date: 2024-12-11
...No Content...
https://www.ia.org.hk/english/legislative_framework/circulars/reg_matters/files/Cir_dd_12.6.2024_41R_Appendixes.pdf -
Date: 2025-06-19