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GL3A_Eng.pdf
... record-keeping procedures relating to all or part of that insurance institution’s business; (vii) whether the contravention was indicative of a pattern of contraventions; (viii) whether there are a number of smaller issues, which individually may not justify a pecuniary penalty, but which do so when taken...
https://www.ia.org.hk/english/legislative_framework/files/GL3A_Eng.pdf -
Date: 2020-09-24
[PDF]
GL3A_Eng.pdf
... record-keeping procedures relating to all or part of that insurance institution’s business; (vii) whether the contravention was indicative of a pattern of contraventions; (viii) whether there are a number of smaller issues, which individually may not justify a pecuniary penalty, but which do so when taken...
https://www.ia.org.hk/english/enforcement/anti_money_laundering_and_counter_terrorist_financing/files/GL3A_Eng.pdf -
Date: 2021-09-13
[PDF]
GL3A_Appendix_A.pdf
... internal controls in respect of the customer due diligence and record-keeping procedures relating to all or part of that insurance institution’s business; (vii) whether the contravention was indicative of a pattern of contraventions; (viii) whether there are a number of smaller issues, which individually...
https://www.ia.org.hk/english/legislative_framework/circulars/antimoney_laundering/files/GL3A_Appendix_A.pdf -
Date: 2019-02-01
... systemic weaknesses of the management systems or internal controls in respect of the customer due diligence and record-keeping procedures relating to all or part of that insurance institution’s business; (vii) whether the contravention was indicative of a pattern of contraventions; (viii) whether there are...
https://www.ia.org.hk/english/legislative_framework/circulars/antimoney_laundering/files/20190913_1_Appendix_C.pdf -
Date: 2019-12-24
[PDF]
GL3A_Eng.pdf
... record-keeping procedures relating to all or part of that insurance institution’s business; (vii) whether the contravention was indicative of a pattern of contraventions; (viii) whether there are a number of smaller issues, which individually may not justify a pecuniary penalty, but which do so when taken...
https://www.ia.org.hk/english/enforcement/anti_money_laundering_and_counter_terrorist_financing/files/GL3A_Eng.pdf -
Date: 2019-12-27
... the referees including name, contact number and e-mail address should be provided. 3 Form A3 VII. Declaration by Proposed RO I, ____________________________________________________, hereby declare and confirm that: Name of Proposed Responsible Officer I agree to act as the Responsible Officer (“RO...
https://www.ia.org.hk/english/infocenter/forms/files/20190917-RO_Application.pdf -
Date: 2022-01-06