... multiple choice options in the suggested FNA form as set out in the Appendix. However, Member Companies may include additional questions and/or multiple choice options, if they consider that such will further enhance the suitability assessment for their own products. 2) Neither Member Companies nor...

... review reveals any suspicious accounts, transactions or dealings, you should promptly notify the Joint Financial Intelligence Unit. /… - 2 - Should you have any enquiries on the above, please contact Mr Edward Li at 2153 2754 or Ms Christy Wong at 2153 2751. Yours faithfully, Dickson Chui Senior Manager...

... Initiatives  Electronification  Enhanced Complaints Handling Procedures  Inspection 2 Background information 3 Insurance Industry Landscape 4 Number of Insurance Intermediaries 0 10,000 20,000 30,000 40,000 50,000 60,000 70,000 80,000 90,000 100,000 110,000 2011 2012 2013 2014 2015 2016 2017 (As at 31 Jul...

... Initiatives  Electronification  Enhanced Complaints Handling Procedures  Inspection 2 Background information 3 Insurance Industry Landscape 4 Number of Insurance Intermediaries 0 10,000 20,000 30,000 40,000 50,000 60,000 70,000 80,000 90,000 100,000 110,000 2011 2012 2013 2014 2015 2016 2017 (As at 31 Jul...

... insurance agency to commence the application process for the agency, its RO and its appointed TRs who are deemed licensees. 2) The agency should prepare and submit to the IA the paper-form application for the agency and its RO, using the application forms provided by the IA in the invitation letter. 2 3...

... RO and its TRs who are deemed licensees through the broker company. In outline, the process will be as follows: 1) The IA will, by letter, invite the licensed insurance broker company to commence the application process for the broker company, its RO and its appointed TRs who are deemed licensees. 2...

... the grounds of him not being fit and proper. The disciplinary action is decided based on all relevant information, including the information gathered by the HKMA in its investigation under the Banking Ordinance (Cap. 155) into Mr Chan’s conduct 1  2 . The HKMA’s...

... Initiatives  Electronification  Enhanced Complaints Handling Procedures  Inspection 2 Background information 3 Insurance Industry Landscape 4 Number of Insurance Intermediaries 0 10,000 20,000 30,000 40,000 50,000 60,000 70,000 80,000 90,000 100,000 110,000 2011 2012 2013 2014 2015 2016 2017 (As at 31 Jul...

... sanctions in accordance /… http://www.fatf-gafi.org/publications/high-riskandnon-cooperativejurisdictions/documents/public-statement-february-2017.html http://www.fatf-gafi.org/publications/high-riskandnon-cooperativejurisdictions/documents/public-statement-february-2017.html - 2 - with applicable United...

.../reg_matters/files/Circular_CPD_Reporting_Procedures_01042021.pdf https://www.ia.org.hk/en/supervision/reg_ins_intermediaries/files/FAQ_CPD_12.06.2020rev_Eng.pdf https://www.ia.org.hk/tc/supervision/reg_ins_intermediaries/files/FAQ_CPD_Chi.pdf - 2 - 如欲了解未有遵守持續專業培訓規定的建議罰則的進一步詳情，可參閱「持續專業培訓 罰則框架」。 保險業監管局 市場行為部主管...