... sparingly x Sample size for review insignificant when compared with business volume Compliance Officer x with business volume x Not involved in PEP approval process Customer Level Risk Assessment x Framework and practice – Discrepancy amongst P&P, system design and actual practice Customer Acceptance...

... sparingly x Sample size for review insignificant when compared with business volume Compliance Officer x with business volume x Not involved in PEP approval process Customer Level Risk Assessment x Framework and practice – Discrepancy amongst P&P, system design and actual practice Customer Acceptance...

... Page 1 of 4 Strategic Plan to Strengthen Hong Kong’s Financial Ecosystem to Support a Greener and More Sustainable Future As one of the defining issues of our time, climate change knows no borders and is a source of multiple risks affecting both the real economy and the entire financial system...

... system to confirm your insurance application. The policy will be delivered to you in a prescribed form (e.g. mail or by electronic means). After taking out an insurance policy: You can make a claim online on your own. If you have any enquiries, you can contact the customer...

... Private and Confidential Wesurance Limited 030519W-IA !4 E K Y C Private and Confidential Wesurance Limited 030519W-IA !5 Electronic Know Your Customer (eKYC)* by Simplify the claim process An eKYCed customer could make statement of the claim in system, no signature’s required eKYC is eligible for some...

... scanned images recorded and maintained in their system are of good quality CDD Process – Copies of Customer Identification Documents 21 5. Screening of PEPs, Terrorists & Sanction Designations Findings: No/ Incomplete requisite screening on policyholders/ beneficial owners at the time of establishing...

... scanned images recorded and maintained in their system are of good quality CDD Process – Copies of Customer Identification Documents 21 5. Screening of PEPs, Terrorists & Sanction Designations Findings: No/ Incomplete requisite screening on policyholders/ beneficial owners at the time of establishing...

... scanned images recorded and maintained in their system are of good quality CDD Process – Copies of Customer Identification Documents 21 5. Screening of PEPs, Terrorists & Sanction Designations Findings: No/ Incomplete requisite screening on policyholders/ beneficial owners at the time of establishing...

... Politically Exposed Persons (“PEPs”) ML/TF Risk Assessment 4 4 Product/ service risk Delivery/ distribution channel risk Customer risk Country risk AML/CFT System Paragraph 2.2 of the Guideline ML/TF Risk Assessment Product/ service risk Delivery/ distribution channel risk Customer risk Country risk AML/CFT...

... Politically Exposed Persons (“PEPs”) ML/TF Risk Assessment 4 4 Product/ service risk Delivery/ distribution channel risk Customer risk Country risk AML/CFT System Paragraph 2.2 of the Guideline ML/TF Risk Assessment Product/ service risk Delivery/ distribution channel risk Customer risk Country risk AML/CFT...