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⏭... facilitate the performance of their respective regulatory functions. 1.2 The SFC has responsibilities under the Securities and Futures Ordinance (Cap. 571) ( “ SFO”), and the rules and regulations made thereunder, to set standards for the authorization of collective investment schemes and structured products...
https://www.ia.org.hk/english/supervision/int_dom_cooperation/files/MOU_between_SFC_and_IA_final_28Sep2020.pdf -
Date: 2020-09-28
... facilitate the performance of their respective regulatory functions. 1.2 The SFC has responsibilities under the Securities and Futures Ordinance (Cap. 571) ( “ SFO”), and the rules and regulations made thereunder, to set standards for the authorization of collective investment schemes and structured products...
https://www.ia.org.hk/english/supervision/int_dom_cooperation/files/MOU_between_SFC_and_IA_final_28Sep2020.pdf -
Date: 2021-11-01
... facilitate the performance of their respective regulatory functions. 1.2 The SFC has responsibilities under the Securities and Futures Ordinance (Cap. 571) ( “ SFO”), and the rules and regulations made thereunder, to set standards for the authorization of collective investment schemes and structured products...
https://www.ia.org.hk/english/supervision/int_dom_cooperation/files/MOU_between_SFC_and_IA_final_28Sep2020.pdf -
Date: 2021-09-01
[PDF]
2021.EngNotes_.pdf
... (LegCo 2017 Aug) Annex AB.pdf Letter to Authorized Insurers (20170421) note - Authorization Fees (full set to insurer 20170421) note - Authorization Fees (issue to insurer 20170421) note - Authorization Fees (Note to insurer 20170421) Annex A n B (Form 1A Form L2) General Business LongTerm note...
https://www.ia.org.hk/english/aboutus/role/files/2021.EngNotes_.pdf -
Date: 2021-09-13
... regular basis. Sufficiently regular basis in this regard will depend on the size and complexity of the broker’s operations and further guidance on this is included below. 2. In developing systems of control brokers should have regard to the following control objectives: 2.1 Control objectives over...
https://www.ia.org.hk/english/supervision/reg_ins_intermediaries/files/2_CIB_GN11_Guidance_Note_on_Keeping_of_Separate_Client_Monies_v2_12_5_2015_eg19.pdf -
Date: 2019-12-20
[PDF]
Form_S2_Eng_Feb2021.pdf
... Version: February 2021 1 Form S2 Insurance Intermediary Licence Applicant/Licensee/ Related Person1 of Licence Applicant /Licensee Information on Bankruptcy, Liquidation or Similar Proceedings Please complete this Form if you have ever entered into a voluntary arrangement or scheme of arrangement...
https://www.ia.org.hk/english/infocenter/forms/files/Form_S2_Eng_Feb2021.pdf -
Date: 2022-01-06
[PDF]
Form_S2_Eng_Feb2021.pdf
... Version: February 2021 1 Form S2 Insurance Intermediary Licence Applicant/Licensee/ Related Person1 of Licence Applicant /Licensee Information on Bankruptcy, Liquidation or Similar Proceedings Please complete this Form if you have ever entered into a voluntary arrangement or scheme of arrangement...
https://www.ia.org.hk/english/infocenter/forms/files/Form_S2_Eng_Feb2021.pdf -
Date: 2022-05-31
[PDF]
GL3A_Appendix_A.pdf
... Authority Contents Page 1. Introduction ……………………………………………… 1 2. Considerations in Exercising the Insurance Authority’s Power to Impose Pecuniary Penalty……………………… 1 3. Commencement…………………………………………... 4 1 1. Introduction 1.1. This Guideline is issued by the Insurance Authority (“IA”) pursuant to section 23(1...
https://www.ia.org.hk/english/legislative_framework/circulars/antimoney_laundering/files/GL3A_Appendix_A.pdf -
Date: 2019-02-01