... any bodies of insurance brokers?  Yes  No If yes, give full particulars: 5 G. Does the relevant person hold any business licence(s), such as investment advisor/dealer/exempt dealer, money lender etc.?   Yes  No If yes, give full particulars: H. Has any application of the relevant person for...

... Systems and Senior Management Oversight 5 Product/service risk – what are the characteristics of the products and services offered and the associated ML/TF risks Delivery/distribution channel risk – whether they are direct sales, through intermediaries, or non- face-to-face channels AML/CFT Systems and...

... File Name (4) Annex Annex on discount rates HKQIS2019 Annex.xlsx (5) Q&A template A template for QIS participants to submit questions which will be responded by the IA throughout the questions and answers (Q&A) process HKQIS2019 Q&A_Template.xlsx QIS Matching Adjustment Package (applicable to insurers...

... Requirements IA circular issued on 5 Aug 2020 Sandbox application for the distribution of long term insurance policies via video conferencing tools. Details of the AML/CFT controls required, including: ML/TF Risk Assessment The corresponding additional measures 10 Key AML/CFT Regulatory Requirements What’s...

... Requirements IA circular issued on 5 Aug 2020 Sandbox application for the distribution of long term insurance policies via video conferencing tools. Details of the AML/CFT controls required, including: ML/TF Risk Assessment The corresponding additional measures 10 Key AML/CFT Regulatory Requirements What’s...

...主事人截至 2022 年 7 月 31 日獲委任的個人持牌人的 培訓時數要求，委任主事人可於 2022 年 8 月 1 日起經一站通下載最終培訓清單。委任 主事人應使用截至 2022 年 7 月 31 日的最終培訓清單向保監局匯報其獲委任個人持牌 人的培訓合規情況。 保監局了解到部份持牌保險代理機構及持牌保險經紀公司仍未在一站通開設監督人帳 戶。有見及此，保監局已於 2022 年 5 月上旬透過電郵將培訓清單發送予這些委任主事 人，並將會於 2022 年 8 月上旬向他們發送最終培訓清單，以便他們監察其獲委任個人 持牌人的合規情況。然而，為了能獲取其最新的培訓清單，這些委任主事人必須盡快向 保監局...

... reference from the Group of Seven’s Fundamental Elements on 5 Cybersecurity for the Financial Sector, the guideline provides insurers with guiding principles for developing their cybersecurity framework. Later this morning, there will be a keynote presentation by Ping An as well as a panel discussion on...

... 4. Have you ever been convicted of a criminal offence by any court in Hong Kong or elsewhere or are you the subject of unresolved criminal charges in Hong Kong or elsewhere? (Please complete Form S3.) ☐ Yes ☐ No 5. Have you ever been refused or restricted from carrying on any trade, business or...

... ☐ No 4. Is the Body Corporate the subject of an investigation and/or disciplinary action or proceeding conducted by any professional body established under any laws, regulatory authority or law enforcement agency in Hong Kong or elsewhere? ☐ Yes ☐ No 5. Has the Body Corporate ever been: (a) a...

... Cir dd 18.01.2021 - Applications for new licences by deemed licensees 8 January 2021 Our Ref: MC/INT/5 By Email To: Chief Executives of all Authorized Insurers, Responsible Officers of all Licensed Insurance Broker Companies and Responsible Officers of all Licensed Insurance Agencies Dear Sirs...