... auditing or reporting irregularities includes but is not limited to – a) falsifying or causing to be falsified a document; b) making a statement, in respect of a document, that was material and that he knew to be false or did not believe to be true; c) negligence in the conduct of his profession; d...

... client accounts? A6. The licensed insurance broker company should promptly rectify the irregularities identified in its client accounts. Further, if the irregularities have amounted to a material breach of the IO and/or Broker Rules, the broker company should report the irregularities to the Insurance...

... auditing or reporting irregularities includes but is not limited to – a) falsifying or causing to be falsified a document; b) making a statement, in respect of a document, that was material and that he knew to be false or did not believe to be true; c) negligence in the conduct of his profession; d...

... client accounts? A6. The licensed insurance broker company should promptly rectify the irregularities identified in its client accounts. Further, if the irregularities have amounted to a material breach of the IO and/or Broker Rules, the broker company should report the irregularities to the Insurance...

... formulated by the Board. A n n u a l R e p o r t 2 0 1 8 - 1 9 9 Corporate Governance 2 514 10 8 11 7 6 3 4 13 12 1 9 5 Ms Chitty Cheung Fung-ting Non-Executive Director 6 Mr Kenneth Kwok Tsun-wa Non-Executive Director 7 Mr Ma Ho-fai, GBS, JP Non-Executive Director 8 Mr James Wong Chien-kuo Non-Executive...

... formulated by the Board. A n n u a l R e p o r t 2 0 1 8 - 1 9 9 Corporate Governance 2 514 10 8 11 7 6 3 4 13 12 1 9 5 Ms Chitty Cheung Fung-ting Non-Executive Director 6 Mr Kenneth Kwok Tsun-wa Non-Executive Director 7 Mr Ma Ho-fai, GBS, JP Non-Executive Director 8 Mr James Wong Chien-kuo Non-Executive...

... formulated by the Board. A n n u a l R e p o r t 2 0 1 8 - 1 9 9 Corporate Governance 2 514 10 8 11 7 6 3 4 13 12 1 9 5 Ms Chitty Cheung Fung-ting Non-Executive Director 6 Mr Kenneth Kwok Tsun-wa Non-Executive Director 7 Mr Ma Ho-fai, GBS, JP Non-Executive Director 8 Mr James Wong Chien-kuo Non-Executive...

... knowledge of the customer b) Material change occurs in respect of the operation of a customer's account. Office of the Commissioner of Insurance The Government of the Hong Kong Special Administrative Region Special Requirements Insurance policy ·Identify a beneficiary by name or ·In the case of designation...

... Requirements for Employees of Authorized Insurers • to help insurers better understand whether their employees will be required to be licensed or may be exempted under the new regime • to explain the factors the IA will have regard to when determining whether a decision is a material decision and whether an...