... formulated by the Board. A n n u a l R e p o r t 2 0 1 8 - 1 9 9 Corporate Governance 2 514 10 8 11 7 6 3 4 13 12 1 9 5 Ms Chitty Cheung Fung-ting Non-Executive Director 6 Mr Kenneth Kwok Tsun-wa Non-Executive Director 7 Mr Ma Ho-fai, GBS, JP Non-Executive Director 8 Mr James Wong Chien-kuo Non-Executive...

... formulated by the Board. A n n u a l R e p o r t 2 0 1 8 - 1 9 9 Corporate Governance 2 514 10 8 11 7 6 3 4 13 12 1 9 5 Ms Chitty Cheung Fung-ting Non-Executive Director 6 Mr Kenneth Kwok Tsun-wa Non-Executive Director 7 Mr Ma Ho-fai, GBS, JP Non-Executive Director 8 Mr James Wong Chien-kuo Non-Executive...

...盡快核實身分﹔ (e) 告知客戶，金融機構在責任上因身分核實措施未能完 成而終止業務關係； (f) 適當地限制在等候完成身分核實措施期間的交易次數 及類別；及 47 (g) 確保不支付客戶的資金予任何第三者。在下述條件規 限下，或可作出例外安排17而付款予第三者： (i) 沒有洗錢/恐怖分子資金籌集活動的懷疑； (ii) 洗錢/恐怖分子資金籌集的風險評定屬於低度； (iii) 交易經高級管理層批准，而高級管理層在批准進 行交易前已對業務性質作出考慮；及 (iv) 收款人的姓名/名稱與監察名單不吻合，例如恐怖 分子嫌疑人物及政治人物。 4.7.7 金融機構不得利用此等寬免措施去規避盡職審查程序...

... User Guide of the Insurance Intermediaries Connect for Principals Applicable to Authorized Insurers, Licensed Insurance Agencies and Licensed Insurance Broker Companies Last update: May 2022 2 Table of Contents 1. Introduction............................................................................

... Multilateral Memorandum of Understanding on Cooperation and Information Exchange (IAIS MMoU) 15 February 2007, Revised 10 July 2014 Page 19 of 20 5. Dates of previous requests on this matter: IV. Passing on of information (Art. 4 (4), Art. 5 MMoU and Annex B) The Requesting Authority hereby confirms that...

... Multilateral Memorandum of Understanding on Cooperation and Information Exchange (IAIS MMoU) 15 February 2007, Revised 10 July 2014 Page 19 of 20 5. Dates of previous requests on this matter: IV. Passing on of information (Art. 4 (4), Art. 5 MMoU and Annex B) The Requesting Authority hereby confirms that...

... Multilateral Memorandum of Understanding on Cooperation and Information Exchange (IAIS MMoU) 15 February 2007, Revised 10 July 2014 Page 19 of 20 5. Dates of previous requests on this matter: IV. Passing on of information (Art. 4 (4), Art. 5 MMoU and Annex B) The Requesting Authority hereby confirms that...

... Multilateral Memorandum of Understanding on Cooperation and Information Exchange (IAIS MMoU) 15 February 2007, Revised 10 July 2014 Page 19 of 20 5. Dates of previous requests on this matter: IV. Passing on of information (Art. 4 (4), Art. 5 MMoU and Annex B) The Requesting Authority hereby confirms that...

... legislation. At least 2 to 3 years will be needed to complete all the preparatory tasks including public consultations.  Phase IV will be the implementation phase. The new RBC regime should be rolled out in phases with a sufficiently long run-in period, so that insurers will have adequate time to understand...

... system of controls commensurate with the scale and complexity of the financial institution is properly put in place; (iii) the quality of risk models, data accuracy, capability of available tools to accurately measure risks, and justifications for risk taking can be challenged, and (iv) all limit...