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⏭... actions. 14. One respondent asked whether the IA can impose a pecuniary penalty on more than one person with respect to the same misconduct. The answer is yes, if appropriate. The Ordinance does not set a cap on the number of persons to be disciplined per incident, and the maximum pecuniary penalty applies...
https://www.ia.org.hk/english/infocenter/files/Consultation_Conclusions_on_Pecuniary_Penalty_GL_Eng.pdf -
Date: 2019-09-03
... actions. 14. One respondent asked whether the IA can impose a pecuniary penalty on more than one person with respect to the same misconduct. The answer is yes, if appropriate. The Ordinance does not set a cap on the number of persons to be disciplined per incident, and the maximum pecuniary penalty applies...
https://www.ia.org.hk/english/supervision/reg_ins_intermediaries/files/Consultation_Conclusions_on_Pecuniary_Penalty_GL_Eng.pdf -
Date: 2019-09-10
... capacity of the Alt. CE will be reverted back to “Technical Representative” and the matter of non-compliance by the Member with Membership Regulation 7.5 will be referred, without further notice on the expiry date of the 6-month period, to the Disciplinary Committee for attention. 6. Other Requirements of...
https://www.ia.org.hk/english/supervision/reg_ins_intermediaries/files/1_CIB_GN2_Guidance_Note_on_Registering_Alternate_Chief_Executive_v1_23_4_2007_eg19.pdf -
Date: 2019-12-20
... Annex A – Final Form of Code of Conduct for Licensed Insurance Brokers Annex B – Final Form of Code of Conduct for Licensed Insurance Brokers with Track Changes Annex C – List of Respondents Consultation Conclusions on the Draft Code of Conduct for Licensed Insurance Brokers 2 Introduction 1. On 28...
https://www.ia.org.hk/english/infocenter/files/Consultation_Conclusions_Brokers_Code_Eng.pdf -
Date: 2019-09-03
... Annex A – Final Form of Code of Conduct for Licensed Insurance Brokers Annex B – Final Form of Code of Conduct for Licensed Insurance Brokers with Track Changes Annex C – List of Respondents Consultation Conclusions on the Draft Code of Conduct for Licensed Insurance Brokers 2 Introduction 1. On 28...
https://www.ia.org.hk/english/supervision/reg_ins_intermediaries/files/Consultation_Conclusions_Brokers_Code_Eng.pdf -
Date: 2019-09-10
... Products” dated September 2020, issued by the HKMA (the “Report”). The MSP was carried out from the second half of 2018 to 2020 by a service provider engaged by the HKMA. With regards to insurance products, the focus of the MSP was on long term business. As regards the sale of insurance products, whilst...
https://www.ia.org.hk/english/legislative_framework/circulars/reg_matters/files/Cir_dd_06112020_Mystery_Shopping_Programme.pdf -
Date: 2020-12-21
[PDF]
cir_aml_20190313.pdf
... destruction (“WMD”) and its financing. The FATF calls on its members and urges other jurisdictions to apply effective counter-measures and targeted financial sanctions in accordance with applicable United Nations Security Council Resolutions to protect their financial sectors from money laundering, financing...
https://www.ia.org.hk/english/legislative_framework/circulars/antimoney_laundering/files/cir_aml_20190313.pdf -
Date: 2019-12-24
... New Q&As to Interpretation Notes 1 Insurance Authority (“IA”) Circular providing interpretation notes (“Circular”) relating to the Guideline on Sale of Investment-Linked Assurance Scheme (“ILAS”) Products The Insurance Authority (“IA”) issues this Circular with the aim of providing further...
https://www.ia.org.hk/english/legislative_framework/circulars/reg_matters/files/New_QNAs_to_Interpretation_Notes.pdf -
Date: 2021-12-10
... New Q&As to Interpretation Notes 1 Insurance Authority (“IA”) Circular providing interpretation notes (“Circular”) relating to the Guideline on Sale of Investment-Linked Assurance Scheme (“ILAS”) Products The Insurance Authority (“IA”) issues this Circular with the aim of providing further...
https://www.ia.org.hk/english/legislative_framework/circulars/reg_matters/files/New_QNAs_to_Interpretation_Notes.pdf -
Date: 2021-09-09