... formulated by the Board. A n n u a l R e p o r t 2 0 1 8 - 1 9 9 Corporate Governance 2 514 10 8 11 7 6 3 4 13 12 1 9 5 Ms Chitty Cheung Fung-ting Non-Executive Director 6 Mr Kenneth Kwok Tsun-wa Non-Executive Director 7 Mr Ma Ho-fai, GBS, JP Non-Executive Director 8 Mr James Wong Chien-kuo Non-Executive...

... formulated by the Board. A n n u a l R e p o r t 2 0 1 8 - 1 9 9 Corporate Governance 2 514 10 8 11 7 6 3 4 13 12 1 9 5 Ms Chitty Cheung Fung-ting Non-Executive Director 6 Mr Kenneth Kwok Tsun-wa Non-Executive Director 7 Mr Ma Ho-fai, GBS, JP Non-Executive Director 8 Mr James Wong Chien-kuo Non-Executive...

... formulated by the Board. A n n u a l R e p o r t 2 0 1 8 - 1 9 9 Corporate Governance 2 514 10 8 11 7 6 3 4 13 12 1 9 5 Ms Chitty Cheung Fung-ting Non-Executive Director 6 Mr Kenneth Kwok Tsun-wa Non-Executive Director 7 Mr Ma Ho-fai, GBS, JP Non-Executive Director 8 Mr James Wong Chien-kuo Non-Executive...

... model an effective response to an evolving risk (through some actions) if it can be demonstrated that: 3 (i) appropriate decision making authority resides within the insurer; (ii) relevant controls and monitoring mechanisms are in place that would alert the insurer to an emerging situation in a timely...

... functions as a regulator of the insurance industry, including: (i) to process any application(s) you may make to or received by the IA under the Ordinance; (ii) to assess your fitness and properness in relation to any of your application(s) for licensing or approval (as the case may be) under the Ordinance...

... functions as a regulator of the insurance industry, including: (i) to process any application(s) you may make to or received by the IA under the Ordinance; (ii) to assess your fitness and properness in relation to any of your application(s) for licensing or approval (as the case may be) under the Ordinance...

... when the decision is to take effect; and (c) the sanction (whichever of the following is applicable): i. the duration and terms of any revocation, suspension or prohibition to be imposed under the decision; ii. the terms of any reprimand under the decision; and iii. the amount of any pecuniary penalty...

... when the decision is to take effect; and (c) the sanction (whichever of the following is applicable): i. the duration and terms of any revocation, suspension or prohibition to be imposed under the decision; ii. the terms of any reprimand under the decision; and iii. the amount of any pecuniary penalty...

... Purpose The purpose of these updated requirements (“Requirements”) is summarised below: i. To ensure that the suitability assessment of prospective ILAS customers has been carried out before recommendation of an ILAS product; ii. To ensure that the product features, charges and fees, the product and...

... 人持牌人已完成相關持續專業培訓時數的文件。 就獲授權保險人而言，負責管理中介人的管控要員須設立內部管控措施，其中應包括 充足的措施以確保保險人委任的持牌保險代理人遵守持續專業培訓規定。 保監局認為，獲授權保險人若欠缺該等充足的管控措施及程序，可能會對下列事項帶 來負面影響：(i)獲授權保險人的董事、控權人及相關管控要員是否為適當人選；及 (ii)持牌保險經紀公司或持牌保險代理機構及其董事、控權人及負責人是否為適當人 選。保監局會把以上因素納入其監管及紀律準則。 個人持牌人 保監局會於每年 9月 30日的匯報期限後就每個評核期進行持續專業培訓合規核查。個 人持牌人如被保監局挑選進行合規核查，應...