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⏭... management control functions) that they also have an important role to play in ensuring that, as part of their recruitment and on-boarding processes for new insurance agents, adequate checks are carried out to verify the accuracy of the information being submitted to the IA as part of licensing applications...
https://www.ia.org.hk/english/infocenter/press_releases/20231122.html -
Date: 2023-11-22
[PDF]
cir_aml_20180312.pdf
... behalf, and subject them to increased scrutiny and enhanced due diligence. In addition, you are reminded that it is an offence under section 4 of the Weapons of Mass Destruction (Control of Provision of Services) Ordinance (Cap. 526) for a person to provide any services where he believes or suspects, on...
https://www.ia.org.hk/english/legislative_framework/circulars/antimoney_laundering/files/cir_aml_20180312.pdf -
Date: 2019-02-01
[PDF]
cir_aml_20180718.pdf
... increased scrutiny and enhanced due diligence. In addition, you are reminded that it is an offence under section 4 of the Weapons of Mass Destruction (Control of Provision of Services) Ordinance (Cap. 526) for a person to provide any services where he believes or suspects, on reasonable grounds, that those...
https://www.ia.org.hk/english/legislative_framework/circulars/antimoney_laundering/files/cir_aml_20180718.pdf -
Date: 2019-02-01
... Given that the role of the board of directors is, in broad terms, to be in charge of the management of a company, the situations where a person is a director of an agency or broker company without being involved in the management or control of the regulated activities of the agency or broker company...
https://www.ia.org.hk/english/legislative_framework/circulars/reg_matters/files/Cir_Brokers_dd_18122020.pdf -
Date: 2020-12-21
... senior management Inaccurate/Incomplete AML/CFT information (e.g. information of high risk customer) stated in the compliance reports to senior management Compliance Functions 13 Compliance Functions Recommendations: Adequate control on the regularity of the submission of compliance reports to senior...
https://www.ia.org.hk/english/supervision/antimoney_laundering/files/IA_AML_findings_briefing_20180531.pdf -
Date: 2021-11-12
... senior management Inaccurate/Incomplete AML/CFT information (e.g. information of high risk customer) stated in the compliance reports to senior management Compliance Functions 13 Compliance Functions Recommendations: Adequate control on the regularity of the submission of compliance reports to senior...
https://www.ia.org.hk/english/supervision/antimoney_laundering/files/IA_AML_findings_briefing_20180531.pdf -
Date: 2022-04-27
... senior management Inaccurate/Incomplete AML/CFT information (e.g. information of high risk customer) stated in the compliance reports to senior management Compliance Functions 13 Compliance Functions Recommendations: Adequate control on the regularity of the submission of compliance reports to senior...
https://www.ia.org.hk/english/supervision/antimoney_laundering/files/IA_AML_findings_briefing_20180531.pdf -
Date: 2019-11-05