... cooling-off period, and alleged unresponsiveness to client’s instructions/ enquiries. CONDUCT IN FOCUS 7 The IA’s Disciplinary Panel Pool and Expert Advisor Panel As at the end of September 2020, the IA has initiated 37 statutory investigations. The nature of these cases include allegations of the use of...

... to have been complied with subject to the following: (a) related correspondence containing the remuneration terms is acceptable provided it is signed by the client; (b) this provision shall apply to insurance transactions which occur within a period of three years from the date of signing of the...

... Circulars on Regulatory Matters 2021 Date Subject 10 December 2021 CPD Penalty Framework and CPD Compliance Reporting Merged CPD assessment period...

... risks associated with investments made under such OA ILAS products (Q&A 32D on risk disclosure);  provide guidance in complying with the relevant requirements (Q&A 32E on governance and controls); and 2  provide a transitional period till 30 June 2022 for necessary operational and system changes to be...

... risks associated with investments made under such OA ILAS products (Q&A 32D on risk disclosure);  provide guidance in complying with the relevant requirements (Q&A 32E on governance and controls); and 2  provide a transitional period till 30 June 2022 for necessary operational and system changes to be...

... to be imposed under the decision; the terms of any reprimand; and the amount of any pecuniary penalty to be imposed and the period within which it is required to be paid. The disciplinary actions may include...

... Road, Wong Chuk Hang, Hong Kong (Fax No.: 3753 4119) (Email address: [email protected]) 致: 香港黃竹坑香葉道 41 號 19 樓 保險業監管局公開資料主任 (傳真號碼：3753 4119) (電郵地址: [email protected]) Details of information requested, e.g. the type of information requested, date or period to which the information relates. Please be as specific...

... Road, Wong Chuk Hang, Hong Kong (Fax No.: 3753 4119) (Email address: [email protected]) 致: 香港黃竹坑香葉道 41 號 19 樓 保險業監管局公開資料主任 (傳真號碼：3753 4119) (電郵地址: [email protected]) Details of information requested, e.g. the type of information requested, date or period to which the information relates. Please be as specific...

...% refundable: size of the refundable portions in excess of 100%, period of time when the amounts will be refundable, etc.), the products (despite being called “refundable”) may in substance be of nature as policies which are subject to the FNA requirement (such as endowment policies). Insurers using the bank...