... financing..................................................... 59 Chapter 7 Suspicious transaction reports and law enforcement requests ............................................................................ 64 Chapter 8 Record-keeping ............................................................... 72 Chapter 9 Staff training...

... financing..................................................... 59 Chapter 7 Suspicious transaction reports and law enforcement requests ............................................................................ 64 Chapter 8 Record-keeping ............................................................... 72 Chapter 9 Staff training...

... Record-keeping ............................................................... 72 Chapter 9 Staff training ................................................................... 76 Chapter 10 Wire transfers .................................................................. 79 Annex I Indicators of suspicious...

... Ordinance. ii) Auditor Requirement - If the appointment of an auditor by a broker company comes to an end, the broker company must (in accordance with section 72 of the Ordinance) within 1 month (a) appoint a new auditor and (b) give notice to the IA of the new appointment and the ending of the old...

... licences (after duly registered with principals) - Individual insurance agents - Technical representatives (agent) - Technical representatives (broker) 1.2 Types of the IIC Accounts managed by the Principal IIC Account Type Available Functions Supervisor Account (Refer to Section 2)  Perform all functions...

... should consider it? Young people wi th l imi ted financial means; individuals who have high protection needs for a period of time or who are looking solely for protection and have other financial plans Individuals in a strong financial s i t ua t i on w ho wa n t b o t h protection and long-term savings...

... differ according to the size and structure of the insurer and the type of business it conducts. However, the basic principles of the Board of Directors (“Board”)’ responsibility, the need for an investment policy, segregation of duties and control will be applicable to all authorized insurers. 1.3. The...

... operative under the new policy? The “Incontestability Clause” under your existing policy may already have taken effect to protect your interests. That means the validity of the existing policy is incontestable unless there is, for example, fraud or non-payment of premiums. (g) Is the type of the new policy...

... policy for ensuring that relevant staff receive adequate AML/CFT training? Have the insurance institutions monitored who have been trained, when the staff received the training, the type of the training provided and the effectiveness of the training? Staff Training 24 • Training materials regularly...

...  All supporting documents in connection with the Application should be duly verified against the relevant original copy by your appointing principals before submission to the IA.  If you are an existing licensed insurance intermediary and intend to apply for a different type of insurance intermediary...