... including ML/TF risks are effectively managed etc. • 4.7.8 – complete verification within the specified timeframe » 30 working days » 90 working days » 120 working days 29 Office of the Commissioner of Insurance The Government of the Hong Kong Special Administrative Region Chapter 4 Chapter 4 –– Keeping...

..., market, and other risks; (vi) procedures for monitoring liquidity risk; (vii) the professional qualifications of those entrusted with investment activities; (viii) the valuation methodologies; (ix) compliance reports; (x) the procedures for selecting and monitoring any external asset managers used; (xi...

... 4.2.1 An FI should carry out CDD measures in relation to a customer: (a) at the outset of a business relationship; (b) before performing any occasional transaction16: (i) equal to or exceeding an aggregate value of $120,000, whether carried out in a single operation or several operations that appear to...

... 4.2.1 An FI should carry out CDD measures in relation to a customer: (a) at the outset of a business relationship; (b) before performing any occasional transaction16: (i) equal to or exceeding an aggregate value of $120,000, whether carried out in a single operation or several operations that appear to...

... 4.2.1 An FI should carry out CDD measures in relation to a customer: (a) at the outset of a business relationship; (b) before performing any occasional transaction14: (i) equal to or exceeding an aggregate value of $120,000, whether carried out in a single operation or several operations that appear to...

... 4.2.1 An FI should carry out CDD measures in relation to a customer: (a) at the outset of a business relationship; (b) before performing any occasional transaction16: (i) equal to or exceeding an aggregate value of $120,000, whether carried out in a single operation or several operations that appear to...

...涵義應根據慣常意思及按業界的作 業方式作出推斷。 就保險業而言，「客戶」一詞指保險單持有人。 13 就本指引而言，信託是指明示信託或附有具法律約束力文件(即信託契據或任何其他形式的具約束力文件)的 任何類似安排。 18 4.2 何時應執行盡職審查措施 附表2第3(1)條 4.2.1 金融機構應在以下情況下就客戶執行盡職審查措施： (a) 在開始建立業務關係時； (b) 在進行以下任何非經常交易前 14： (i) 非經常交易總值涉及相等於120,000元或以上的 款額，而不論交易是以單一次操作執行，或是以 該金融機構覺得是有關連的若干次操作執行；或 (ii) 屬電傳轉帳的非經常交易總值涉及相等於...

...) 在開始建立業務關係時； (b) 在進行以下任何非經常交易前 16： (i) 非經常交易總值涉及相等於120,000元或以上的 款額，而不論交易是以單一次操作執行，或是以 該金融機構覺得是有關連的若干次操作執行；或 (ii) 屬電傳轉帳的非經常交易總值涉及相等於 8,000 元或以上的款額，而不論交易是以單一次操作執 行，或是以該金融機構覺得是有關連的若干次操 作執行； (c) 當金融機構懷疑客戶或客戶的戶口涉及洗錢及恐怖 分子資金籌集時17；或 (d) 當金融機構懷疑過往為識別客戶的身分或核實客戶 的身分而取得的資料是否真實或充分時。 附表2第1條 4.2.2 《打擊洗錢條例》界定某人與...