... assessment of risks supported by qualitative and quantitative analysis • Information obtained from internal and external sources Consider relevant risk factors 2 • For determining the overall risk level and appropriate level and type of mitigation to be applied Obtain senior management’s approval 3 • e.g....

... completing this form. (2) Name of the Insurer : Name of Applicant/Proposer : Hong Kong Identity Card No. of Applicant/Proposer : Application/Proposal/Policy No. : (3) SECTION A 1. Have you replaced or do you intend to replace any of your existing life insurance policies by the above mentioned application...

...： (a) 姓名或名稱； (b) 業務地址或住址； (c) 電話號碼；及 (d) 電子郵件地址。 處罰 — 如無合理辯解而違反該規定，即屬 犯罪，可處最高第 5 級罰款（目前為港幣 $50,000）。 意見 — 經紀公司應有（而其負責人應確保經紀公司有）制度確保獲其委任的業務代 表（經紀）及負責人知悉該規定，並應定期（例如透過定期的電郵通知）提醒他們注 意，以便在規定的 14 日期間內向保監局具報有關改變。 向保監局報告的相關表格 — N3、N4 2) 持牌保險經紀公司須在擬委任新的業務代表(經紀)最少 14 日前，向保監局具報作 出委任的意向（條例第 64Q 條） 規定 — 如持牌保險經紀公司擬...

... consideration to the ML/TF threats and vulnerabilities identified in the Report that are relevant to their own circumstances in their IRA process 2 IRA (Cont’d) documented the IRA process;  considered all the risks factors before determining the level of overall risk and level & type of mitigation to be...

... consideration to the ML/TF threats and vulnerabilities identified in the Report that are relevant to their own circumstances in their IRA process 2 IRA (Cont’d) documented the IRA process;  considered all the risks factors before determining the level of overall risk and level & type of mitigation to be...

... consideration to the ML/TF threats and vulnerabilities identified in the Report that are relevant to their own circumstances in their IRA process 2 IRA (Cont’d) documented the IRA process;  considered all the risks factors before determining the level of overall risk and level & type of mitigation to be...

... Form A6 AN2 1 Application for Approval of the Variation of Line(s) of Business by Individual insurance Agent/ Technical Representative (Agent)/ Technical Representative (Broker) Pursuant to Section 64S of the Insurance Ordinance (Cap. 41) For Official Use C SA LN Check Update Verify Please...

... Form A6 AN2 1 Application for Approval of the Variation of Line(s) of Business by Individual insurance Agent/ Technical Representative (Agent)/ Technical Representative (Broker) Pursuant to Section 64S of the Insurance Ordinance (Cap. 41) For Official Use C SA LN Check Update Verify Please...

.../publications/high-risk-and-other-monitored-jurisdictions/documents/public-statement-october-2019.html - 2 - You should give special attention to business relationships and transactions with the DPRK, including DPRK companies, financial institutions and those acting on their behalf, and subject them to...

... the person is carrying on a regulated activity, in the course of business or employment, or for reward unless the person holds an appropriate type of insurance intermediary licence or is exempt under the IO.  It is an offence for contravening section 64G of the IO.   Regulated...