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⏭... relation to CDD and EDD for foreign PEPs and TFS FIs strengthen transaction monitoring systems, and ensure adequate, appropriate & timely STRs reporting IA should apply sanctions on a graduated basis against material non-compliance to send further dissuasive signals 1 2 3 4 Thank You ...
https://www.ia.org.hk/english/supervision/antimoney_laundering/files/Mutual_Evaluation_Report_of_Hong_Kong_2019.pdf -
Date: 2019-11-05
[PDF]
GL19.pdf
... any Material Change of QDAP 26. When there will be any material change in the policy feature(s) of a QDAP that may render the policy non-compliant with any of the criteria set out in this Guideline, the insurer must immediately inform the IA before any such change becomes effective. Record Keeping 27....
https://www.ia.org.hk/english/legislative_framework/files/GL19.pdf -
Date: 2020-09-24
[PDF]
GL19.pdf
... any Material Change of QDAP 26. When there will be any material change in the policy feature(s) of a QDAP that may render the policy non-compliant with any of the criteria set out in this Guideline, the insurer must immediately inform the IA before any such change becomes effective. Record Keeping 27....
https://www.ia.org.hk/english/legislative_framework/circulars/reg_matters/files/GL19.pdf -
Date: 2019-11-29
... the implementation of the plan (6) Periodically review the plan 11 Know the Product and Disclose All Material Facts 7.4 Member should be familiar with the ILAS product provided or recommended to client, and should disclose all material facts regarding the ILAS product. In particular, Member must...
https://www.ia.org.hk/english/supervision/reg_ins_intermediaries/files/2_PIBA_CoC_Inv._Linked_Busi._v2_20_12_2013_eg19.pdf -
Date: 2019-12-20
... compliance reports not regularly submitted to senior management/ remained outstanding for a considerable period of time (e.g. over 1 year) Material AML/CFT issues (e.g. inadequate due diligence to identify potential ML/TF transactions) identified under compliance reviews not reported in compliance reports to...
https://www.ia.org.hk/english/supervision/antimoney_laundering/files/IA_AML_findings_briefing_20180531.pdf -
Date: 2021-11-12
[DOCX]
Appendix_1.docx
... customers, all customers must sign all sections. 2. The customer(s) are required to inform the licensed insurance intermediary or us (the authorized insurer) if there is any material change of information provided in these Declarations before the policy is issued. 6 ...
https://www.ia.org.hk/english/legislative_framework/files/Appendix_1.docx -
Date: 2020-09-24
... compliance reports not regularly submitted to senior management/ remained outstanding for a considerable period of time (e.g. over 1 year) Material AML/CFT issues (e.g. inadequate due diligence to identify potential ML/TF transactions) identified under compliance reviews not reported in compliance reports to...
https://www.ia.org.hk/english/supervision/antimoney_laundering/files/IA_AML_findings_briefing_20180531.pdf -
Date: 2022-04-27
[DOCX]
GL26_Appendix_1_Eng.docx
... customers, all customers must sign all sections. 2. The customer(s) are required to inform the licensed insurance intermediary or us (the authorized insurer) if there is any material change of information provided in these Declarations before the policy is issued. 6 ...
https://www.ia.org.hk/english/supervision/reg_ins_intermediaries/files/GL26_Appendix_1_Eng.docx -
Date: 2020-06-24