... Activities which are Type 7 Qualified CPD Activities); (d) Date on which the user completed the E-learning Activity; (e) A statement to the effect that the CPD activity was completed by e- learning; (f) Type of Qualified CPD Activity (i.e. Type 1/Type 7); (g) Full name of the user who has completed the...

... Activities which are Type 7 Qualified CPD Activities); (d) Date on which the user completed the E-learning Activity; (e) A statement to the effect that the CPD activity was completed by e- learning; (f) Type of Qualified CPD Activity (i.e. Type 1/Type 7); (g) Full name of the user who has completed the...

... controls over its staff so as to ensure full compliance of Statutory and/or Governmental Requirements and this Code in every aspect by Member and/or Relevant Person(s) of a Member, and to safeguard the interests of client. For this purpose, appropriate and adequate policies and measures should be...

... Findings: No rationale for not reporting internal STRs to the JFIU No full record of all STRs made to the JFIU was kept Recommendations:  Keep proper records of MLROs’ deliberations & actions taken to demonstrate they have acted in reasonable manner  Establish and maintain a record of all STRs made to...

..., JP, Member of Legislative Council (Insurance), HKSAR 6 Mr Laurence Li, SC, JP, Chairman, Financial Services Development Council 2 The transition from the self-regulatory regime is now complete. We have taken on the full remit of our functions under the Insurance Ordinance. To borrow the words of Sir...

..., JP, Member of Legislative Council (Insurance), HKSAR 6 Mr Laurence Li, SC, JP, Chairman, Financial Services Development Council 2 The transition from the self-regulatory regime is now complete. We have taken on the full remit of our functions under the Insurance Ordinance. To borrow the words of Sir...

... Findings: No rationale for not reporting internal STRs to the JFIU No full record of all STRs made to the JFIU was kept Recommendations:  Keep proper records of MLROs’ deliberations & actions taken to demonstrate they have acted in reasonable manner  Establish and maintain a record of all STRs made to...

..., JP, Member of Legislative Council (Insurance), HKSAR 6 Mr Laurence Li, SC, JP, Chairman, Financial Services Development Council 2 The transition from the self-regulatory regime is now complete. We have taken on the full remit of our functions under the Insurance Ordinance. To borrow the words of Sir...

... Findings: No rationale for not reporting internal STRs to the JFIU No full record of all STRs made to the JFIU was kept Recommendations:  Keep proper records of MLROs’ deliberations & actions taken to demonstrate they have acted in reasonable manner  Establish and maintain a record of all STRs made to...

... Market Conduct (Acting) CONDUCT IN FOCUS 3 Complaint Statistics 23rd September 2019 to 22nd September 2020 The IA received 1,571 complaints during the period from 23 September 2019 to 22 September 2020, being the first full year following the new regulatory regime for licensed insurance intermediaries...