... relation to:  capital and net assets;  professional indemnity insurance (“PII”);  keeping of separate client accounts;  keeping of proper books and accounts; and  submission of audited financial statements. 2. Currently, the relevant requirements are set out in the Guideline on Minimum Requirements...

... relation to:  capital and net assets;  professional indemnity insurance (“PII”);  keeping of separate client accounts;  keeping of proper books and accounts; and  submission of audited financial statements. 2. Currently, the relevant requirements are set out in the Guideline on Minimum Requirements...

... relation to:  capital and net assets;  professional indemnity insurance (“PII”);  keeping of separate client accounts;  keeping of proper books and accounts; and  submission of audited financial statements. 2. Currently, the relevant requirements are set out in the Guideline on Minimum Requirements...

... relation to:  capital and net assets;  professional indemnity insurance (“PII”);  keeping of separate client accounts;  keeping of proper books and accounts; and  submission of audited financial statements. 2. Currently, the relevant requirements are set out in the Guideline on Minimum Requirements...

... either by internal or external auditors in order to assess the effectiveness of the system. Appropriate revision or enhancement can be made if necessary. Similar to the risk management policy, the monitoring system must be clearly set out and properly documented. 2/9 2.1.6 Financial Risk Management in...

... external auditors in order to assess the effectiveness of the system. Appropriate revision or enhancement can be made if necessary. Similar to the risk management policy, the monitoring system must be clearly set out and properly documented. 2.1.6 Financial Risk Management in Hong Kong (a) Risk Management...

... Association 4 The SROs are The Hong Kong Confederation of Insurance Brokers, The Professional Insurance Brokers Association, and the Insurance Agents Registration Board set up by The Hong Kong Federation of Insurers. 2 marks the conclusion of the final phase in the establishment of an independent insurance...

... Association 4 The SROs are The Hong Kong Confederation of Insurance Brokers, The Professional Insurance Brokers Association, and the Insurance Agents Registration Board set up by The Hong Kong Federation of Insurers. 2 marks the conclusion of the final phase in the establishment of an independent insurance...

... Association 4 The SROs are The Hong Kong Confederation of Insurance Brokers, The Professional Insurance Brokers Association, and the Insurance Agents Registration Board set up by The Hong Kong Federation of Insurers. 2 marks the conclusion of the final phase in the establishment of an independent insurance...

... details of which are summarized at the Annex for your attention. Key areas for improvement include:- 1) Senior management oversight; 2) Compliance functions; 3) Customer risk assessment; 4) Customer due diligence process; 5) Screening of Politically Exposed Persons, terrorists and sanction designations; 6...