... company does not handle client monies, is it required to maintain a separate client account? A4: Under section 71 of the IO, a licensed insurance broker company is required to hold client monies separate from the broker company’s monies. Hence, a broker company which does not hold any client monies is not...

... company does not handle client monies, is it required to maintain a separate client account? A4: Under section 71 of the IO, a licensed insurance broker company is required to hold client monies separate from the broker company’s monies. Hence, a broker company which does not hold any client monies is not...

... “Contact Us” section, the “Insurtech Corner” or other similar section / function on our website is used by us to respond to or handle your enquiries, comments, suggestions or matter.  The personal data will not be used for any other purposes, disclosed or transferred without...

... Monitor Continuing Professional Development (CPD) Compliance Conduct inspection to ensure compliance Promote proper standards of conduct Handle complaints and identify key conduct risks Conduct investigation Impose disciplinary actions Main Progress in Implementation of the New Regime Main Progress in...

... (where applicable); (vi) to investigate complaints and handle enquiries; (vii) to conduct legal proceedings, inspection, investigation, and taking enforcement or disciplinary actions; (b) to co-operate with and assist any other regulatory body and/or law enforcement body of Hong Kong, or of any place...

...) under the Ordinance where the licensed insurance intermediaries or responsible officers may otherwise have a connection; (v) to display and publish personal data on the public registers maintained under the Ordinance (where applicable); (vi) to investigate complaints and handle enquiries; (vii) to...

... the target can be justified on a sound and reasonable basis. In case of a mismatch, the licensed insurance intermediaries should follow the control measures set up to handle mismatch cases, including clearly explain to the customer the mismatch, how the recommended product(s) could meet the customer’s...

... Monitor Continuing Professional Development (CPD) Compliance Conduct inspection to ensure compliance Promote proper standards of conduct Handle complaints and identify key conduct risks Conduct investigation Impose disciplinary actions Main Progress in Implementation of the New Regime Main Progress in...