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⏭... the bank statements and passbooks (after allowing for all unpresented items) of all client accounts; and (ii) any client monies held by the company that have not been deposited into a client account; and (b) as at the same date when a comparison is made pursuant to paragraph (a), prepare a...
https://www.ia.org.hk/english/infocenter/files/Broker_Rules_Conclusions_Eng.pdf -
Date: 2019-09-03
... the bank statements and passbooks (after allowing for all unpresented items) of all client accounts; and (ii) any client monies held by the company that have not been deposited into a client account; and (b) as at the same date when a comparison is made pursuant to paragraph (a), prepare a...
https://www.ia.org.hk/english/infocenter/files/final_Broker_Rules_Conclusions_Eng.pdf -
Date: 2019-09-03
... the bank statements and passbooks (after allowing for all unpresented items) of all client accounts; and (ii) any client monies held by the company that have not been deposited into a client account; and (b) as at the same date when a comparison is made pursuant to paragraph (a), prepare a...
https://www.ia.org.hk/english/supervision/reg_ins_intermediaries/files/Broker_Rules_Conclusions_Eng.pdf -
Date: 2019-09-10
... the bank statements and passbooks (after allowing for all unpresented items) of all client accounts; and (ii) any client monies held by the company that have not been deposited into a client account; and (b) as at the same date when a comparison is made pursuant to paragraph (a), prepare a...
https://www.ia.org.hk/english/supervision/reg_ins_intermediaries/files/final_Broker_Rules_Conclusions_Eng.pdf -
Date: 2019-09-10
[PDF]
mou-frc-20071219.pdf
... Ordinance, Cap. 41. 6. “Investigation” means an investigation initiated by the Council under section 23 of the FRCO. 7. “Non-compliance” means a relevant non-compliance as defined by section 5 of the FRCO. For ease of reference, these are summarised at Schedule 1. 8. “Parties” means the IA and the FRC. II...
https://www.ia.org.hk/english/supervision/int_dom_cooperation/files/mou-frc-20071219.pdf -
Date: 2020-09-28
... their first QIS in 2005 to actual implementation of the Solvency II regime in 2016. Currently we are analysing the data collected in QIS1 and preparing the launch of the second QIS (QIS 2) with more refined requirements in the second half of this year. We expect that the third QIS (and hopefully the...
https://www.ia.org.hk/english/infocenter/files/Keynote_Speech_AsianInvestor_on_1_Mar.pdf -
Date: 2021-12-09
[PDF]
mou-frc-20071219.pdf
... Ordinance, Cap. 41. 6. “Investigation” means an investigation initiated by the Council under section 23 of the FRCO. 7. “Non-compliance” means a relevant non-compliance as defined by section 5 of the FRCO. For ease of reference, these are summarised at Schedule 1. 8. “Parties” means the IA and the FRC. II...
https://www.ia.org.hk/english/supervision/int_dom_cooperation/files/mou-frc-20071219.pdf -
Date: 2021-11-01
... their first QIS in 2005 to actual implementation of the Solvency II regime in 2016. Currently we are analysing the data collected in QIS1 and preparing the launch of the second QIS (QIS 2) with more refined requirements in the second half of this year. We expect that the third QIS (and hopefully the...
https://www.ia.org.hk/english/infocenter/files/Keynote_Speech_AsianInvestor_on_1_Mar.pdf -
Date: 2021-09-08
[PDF]
mou-frc-20071219.pdf
... Ordinance, Cap. 41. 6. “Investigation” means an investigation initiated by the Council under section 23 of the FRCO. 7. “Non-compliance” means a relevant non-compliance as defined by section 5 of the FRCO. For ease of reference, these are summarised at Schedule 1. 8. “Parties” means the IA and the FRC. II...
https://www.ia.org.hk/english/supervision/int_dom_cooperation/files/mou-frc-20071219.pdf -
Date: 2021-09-01