... of services to be provided, target market clientele and source of business; 15. Internal control policies and procedures (e.g. operational manual, compliance manual, manual on Anti-Money Laundering); and 16. Copy of the latest financial statements (if the applicant has been incorporated for 12 months...

... of services to be provided, target market clientele and source of business; 15. Internal control policies and procedures (e.g. operational manual, compliance manual, manual on Anti-Money Laundering); and 16. Copy of the latest financial statements (if the applicant has been incorporated for 12 months...

... of services to be provided, target market clientele and source of business; 15. Internal control policies and procedures (e.g. operational manual, compliance manual, manual on Anti-Money Laundering); and 16. Copy of the latest financial statements (if the applicant has been incorporated for 12 months...

... Joint statement on the establishment of the Green and Sustainable Finance Cross-Agency Steering Group 5 May 2020 The Hong Kong Monetary Authority (HKMA) and the Securities and Futures Commission (SFC) initiated the establishment of the Green and...

... Representatives of Life Insurance Members (“LIMs”) selling Investment Linked Assurance Scheme (“ILAS”) Products cc : Ms Carol Hui, Assistant Commissioner of Insurance From : Stuart Fraser, Chairman, Life Insurance Council (“LIC”) Date : 8 December 2014 Subject : Updated Requirements Relating to the Sale of...