...: (i) the nature, scale, diversity and complexity of its business; (ii) the characteristics of products and services offered, and the extent to which they are vulnerable to ML/TF abuse; (iii) the volume and size of its transactions; (iv) the delivery/distribution channels, including the extent to which...

... nature, scale, diversity and complexity of its business; (ii) the characteristics of products and services offered, and the extent to which they are vulnerable to ML/TF abuse; (iii) the volume and size of its transactions; (iv) the delivery/distribution channels, including the extent to which the II...

...) whether any disciplinary action has been taken against the person 6 by: (i) the Monetary Authority; (ii) the Securities and Futures Commission; (iii) the Mandatory Provident Fund Schemes Authority; or (iv) any other authority or regulatory organization, whether in Hong Kong or elsewhere, which, in the IA...

...) whether any disciplinary action has been taken against the person 6 by: (i) the Monetary Authority; (ii) the Securities and Futures Commission; (iii) the Mandatory Provident Fund Schemes Authority; or (iv) any other authority or regulatory organization, whether in Hong Kong or elsewhere, which, in the IA...

... Consultation Paper on the Draft Insurance (Group Capital) Rules Consultation Paper on Draft Insurance (Group Capital) Rules 1 FOREWORD 1. This paper is published by the Insurance Authority to consult the public on the draft rules to be made under section 129 of the Insurance Ordinance (Cap. 41), na...

... have been clearly explained to the prospective customer before fulfilment; iii. To ensure that all necessary product and marketing documents have been provided to the prospective customer before fulfilment; and iv. To ensure that the sales process for the purchase of an ILAS product has been done in...

...； (ii) 被識別為高風險客戶的數目及所佔比例； (b) 國家風險因素，例如： (i) 因其本身或客戶的活動而承受來自某些國家或 司法管轄區的影響，尤其由可靠資料來源識別 為貪污或有組織罪行的情況相對較嚴重及 /或並 無有效的打擊洗錢及恐怖分子資金籌集制度的 國家或司法管轄區； (c) 產品、服務、交易或交付 /分銷渠道的風險因素，例 如： (i) 其業務性質、規模、多元化程度及複雜程度； (ii) 所提供產品及服務的特性，以及有關產品及服 務被用作洗錢及恐怖分子資金籌集活動的脆弱 度； (iii) 其交易量及交易額； (iv) 其交付/分銷渠道，包括保險機構直接與客戶往 來的程度、保險機構依賴(或...

...) 所提供產品及服務的特性，以及有關產品及服務被 用作洗錢及恐怖分子資金籌集活動的脆弱度； ( i i i) 其交易量及交易額； ( iv) 其交付 /分銷渠道，包括保險機構直接與客戶往來的 程度、保險機構依賴 (或獲許可依賴 )第三方進行盡 職審查的程度、保險機構運用科技的程度，以及該 等渠道被用作洗錢及恐怖分子資金籌集活動的脆弱 度； (d) 其他風險因素，例如： (i) 可供使用的洗錢及恐怖分子資金籌集風險管理資源 的性質、規模和質素，包括合資格並接受持續打擊 洗錢及恐怖分子資金籌集培訓及發展的員工； ( i i) 合規及監管結果； ( i i i) 內部或外部審計結果。 2.5 機構層面的洗錢...

... Mortality_Protection_Gap_Report_eng Mortality Protection Gap Study 2021 Table of Contents 01 I. Introduction 04 II. Overview of Hong Kong life insurance market 05 III. Why is the mortality protection gap worth attention? 07 IV. Defining the mortality protection gap 09 V. Mortality protection gap...

... Mortality_Protection_Gap_Report_eng Mortality Protection Gap Study 2021 Table of Contents 01 I. Introduction 04 II. Overview of Hong Kong life insurance market 05 III. Why is the mortality protection gap worth attention? 07 IV. Defining the mortality protection gap 09 V. Mortality protection gap...