... information by the other party; b) will endeavour to consult with the other party whenever it proposes to pass on any such information to a third party except for information disclosed in accordance with the ICO by the IA or with the FRCO by the FRC c) will endeavour to comply with any restrictions on the use...

... 2021 (in addition to completing the CPD hours for the Second CPD Assessment Period); and (c) Each individual licensee is required to report his or her CPD compliance for the First and Second CPD Assessment Periods no later than 30 September 2021. The purpose of this circular is to set out the reporting...

... information by the other party; b) will endeavour to consult with the other party whenever it proposes to pass on any such information to a third party except for information disclosed in accordance with the ICO by the IA or with the FRCO by the FRC c) will endeavour to comply with any restrictions on the use...

... Guidance Notes 5.2.4 Minimum Requirements Specified for Insurance Brokers 5.2.5 Relevant Codes and Guidelines by the Self-Regulatory Bodies 5.2.6 Guidance Note on the Use of Internet for Insurance Activities (GN8) 5.2.7 Guidance Note on Underwriting Class C Business (GN15) 5.3 Securities Legislation and...

... Requirements Relating to the Sale of ILAS to Enhance Customer Protection 2. Appendix A: ILAS Product Sales Flow (New Application) 3. Appendix B: Financial Needs Analysis (“FNA”) Form 4. Appendix C1: Important Facts Statement and the Applicant’s Declarations (Complex charge structure version for upfront and...

... permissible; (b) its management and operation (in so far as its insurance or insurance-related businesses are concerned) is under the direction and supervision of a chief executive (as defined hereunder); (c) its registered business address is situate in HKSAR; (d) its name is not likely to deceive; (e) it...

... running off their liabilities with an insignificant run-off portfolio in Hong Kong; (b) Lloyd’s; (c) captive insurers; and (d) marine mutuals, where: “Lloyd’s” has the meaning assigned to it under section 2(1) of the Ordinance; “captive insurer” has the meaning assigned to it under section 2(7) of the...

... deficiencies in their AML/CFT systems and issue updated statements from time to time, IIs are reminded to browse the website of the FATF for the latest information. (c) Other Outcomes from the FATF Virtual Plenary, 19–21 October 2021 In addition to the statements in (a) and (b) above, the FATF also published...

... the WMD(CPS)O) respectively; (c) section 25A of the DTROP and the OSCO as well as sections 12 and 14 of the UNATMO make it an offence if a person fails to disclose, as soon as it is reasonable for him to do so, his knowledge or suspicion of any property that directly or indirectly, represents a person...

... personal accident cover; (c) yearly renewable insurance policies (without cash value) for critical illness or medical cover; (d) group policies. Assessment 1. Prior to recommending any Long Term Insurance policies, Members should assess properly the information of the clients collected from conducting the...