... with the duties expected of a prudential supervisor while we attempt to formulate a set of corporate vision and mission, to map out our strategic goals, to build up a user-oriented service culture, and to sustain impetus on several key reform packages. The journey was not entirely smooth, bumpy at...

... with the duties expected of a prudential supervisor while we attempt to formulate a set of corporate vision and mission, to map out our strategic goals, to build up a user-oriented service culture, and to sustain impetus on several key reform packages. The journey was not entirely smooth, bumpy at...

.../guidance-counter-proliferation-financing.html - 2 - • Undertaking reasonable efforts to collect additional information (e.g. available typologies of proliferation finance) related to identified high-risk customers and transactions in order to identify, and avoid engaging in, prohibited activities, and to enable follow-up actions. You are...

... external auditors in order to assess the effectiveness of the system. Appropriate revision or enhancement can be made if necessary. Similar to the risk management policy, the monitoring system must be clearly set out and properly documented. 2.1.6 Financial Risk Management in Hong Kong (a) Risk Management...

... either by internal or external auditors in order to assess the effectiveness of the system. Appropriate revision or enhancement can be made if necessary. Similar to the risk management policy, the monitoring system must be clearly set out and properly documented. 2/9 2.1.6 Financial Risk Management in...

... client account, the insurance broker, instead of applying for a cheque book under its client account for direct settlement with insurers, transferred the monies from the client account to its own operating account in order to settle the premium payments with insurers by cheques. Such practice is...

... imposed 3 3. Obtaining consent to disclosure from the IA 4 4. Assumed consent to disclosure of limited information 4 5. Frequently Asked Questions 6 3 1. Introduction 1.1. This Explanatory Note, which includes a set of frequently asked questions, is issued by the Insurance Authority (“IA”) to provide...

... imposed 3 3. Obtaining consent to disclosure from the IA 4 4. Assumed consent to disclosure of limited information 4 5. Frequently Asked Questions 6 3 1. Introduction 1.1. This Explanatory Note, which includes a set of frequently asked questions, is issued by the Insurance Authority (“IA”) to provide...

... 4.2.5 under the heading of “Fit and Proper Criteria”. The regulation is revised as follows: 4.2.5 such person has any unsatisfied judgement or court order requiring the payment of damages or other sums of money in relation to any trade or business carried on by him or in which he has been concerned...