... commencement of the new regulatory regime for insurance intermediaries, i.e. the day on which the new section 74 of the Insurance Companies (Amendment) Ordinance 2015 comes into operation. The Rules are subject to further changes depending on comments received during the legislative process. 60. The IA would...

... companies should have effective controls in place to ensure customers are aware of the possible risks associated with switching investment choices or placing top-up investment after policy inception that may become inconsistent with their risk profile. What type of controls would be considered as effective...

... companies should have effective controls in place to ensure customers are aware of the possible risks associated with switching investment choices or placing top-up investment after policy inception that may become inconsistent with their risk profile. What type of controls would be considered as effective...

... companies should have effective controls in place to ensure customers are aware of the possible risks associated with switching investment choices or placing top-up investment after policy inception that may become inconsistent with their risk profile. What type of controls would be considered as effective...

... 指引 3 打擊洗錢 及 恐怖分子資金籌集指引 (適用於經營長期業務或就長期業務提供 意見的獲授權保險人、再保險人、獲委 任保險代理人及獲授權保險經紀) 保險業監管局 2018 年 11 月 目錄 頁數 第 1 章 概覽 ...................................................................................... 1 第 2 章 風險為本方法 ..................................................................... 8 第 3 章 打擊洗錢及恐怖分子...

... 打擊洗錢 指引 3 打擊洗錢 及 恐怖分子資金籌集指引 (適用於經營長期業務的獲授權保險人及再保險人，以及就長 期業務進行受規管活動的持牌個人保險代理、 持牌保險代理機構及持牌保險經紀公司)或就長期業務提供 意見的獲授權保險人、再保險人、獲委 任保險代理人及獲授權保險經紀) 保險業監管局 2019 年 9 月 2018 年 11 月 目錄 頁數 第 1 章 概覽 ...................................................................................... 1 第 2 章 風險為本方法 .................

... Consultation Conclusions on a Risk-based Capital Framework for the Insurance Industry of Hong Kong 1 Consultation on a Risk-based Capital Framework for the Insurance Industry of Hong Kong Consultation Conclusions Background 1. The Insurance Authority (“IA”) conducted a three-month consultation exer...

...地址是不足夠的。 其他考慮因素 4.8.12 在大多數情況下，根據標準的核實規定行事是足夠的。但 是，如基於客戶的性質、業務、所在地或產品的特點等， 客戶或產品或服務被評為屬高度洗錢/恐怖分子資金籌集 的風險，則金融機構應考慮是否要求有關客戶提供額外的 身分資料及/或須否採取額外的身分核實措施。 4.8.13 附錄A載列一份獲有關當局認可供身分核實之用的獨立及 可靠來源的文件清單。 4.9 法人及信託 一般條文 4.9.1 至於法人，主要規定是要識別在客戶背後最終控制或實益 擁有業務或客戶的資產的人。金融機構一般會對該客戶的 管理行使最終控制權的人士倍加留意。 60 附表2 第2（1）（b） 條...

... differentiation, a specific set of Important Facts Statement must be prepared for this purpose and must be used for business introduced from this type of intermediary. For the avoidance of doubt, however, Member Companies must still follow the requirement under 7.8 of the GN15 during the underwriting process for...

... 註冊有限公司 Incorporated with limited liability 香港灣仔駱克道 353 號三湘大廈 29 樓 29/F, Sunshine Plaza, 353 Lockhart Road, Wanchai, Hong Kong 電話 Tel: 25201868 傳真 Fax: 25201967 網址 Website: http://www.hkfi.org.hk 電郵 E-mail: [email protected] Ref : Mv042/18 By Fax & By Email To : Authorized Representatives of Member C...