... • Additional requirements of ORSA Report for Tier 1 and Tier 2 Groups 32 10. Reporting to the Insurance Authority and Supervisory Review 36 11. Implementation 37 Glossary 38 Annex A Three-tier group-wide supervisory approach 41 Annex B Reportable types of intra-group transaction or event 43 1 1. Introduction...

... control of the regulated activities of an agency or a broker company, the IA will take a “substance over form” approach to seek to understand the actual role played by the director in the agency or broker company. The type of factors and questions the IA will consider in this respect are set out below: 2...

... - Liquidity  Other risk management policies - Actuarial - Conduct - Cyber - Claims Management - Internal Controls - Data Quality 22 8. ERM Framework Review 34 9. Own Risk and Solvency Assessment (ORSA) • Minimum requirements of ORSA Report 36 10. Reporting to the Insurance Authority and Supervisory Review 40...

... arrangements or holding structures that may require adjustments to be made to eliminate double-counting? Rule 8 – Tiering approach for regulated and non-regulated entities 36 For the purposes of assessing the amount of eligible group capital of an insurance group against its GMCR and GPCR, a designated...

... - Liquidity  Other risk management policies - Actuarial - Conduct - Cyber - Claims Management - Internal Controls - Data Quality 22 8. ERM Framework Review 34 9. Own Risk and Solvency Assessment (ORSA) • Minimum requirements of ORSA Report 36 10. Reporting to the Insurance Authority and Supervisory Review 40...

... - Reinsurance and Risk Transfer - Liquidity  Other risk management policies - Actuarial - Conduct - Cyber - Claims Management - Internal Controls - Data Quality 22 8. ERM Framework Review 34 9. Own Risk and Solvency Assessment (ORSA) • Minimum requirements of ORSA Report 36 10. Reporting to the Insurance...

... eligible capital resources of “Holding Entity A”. 36 b) Definition of quantities Supervised group member Jurisdiction of incorporation MCR PCR Eligible capital resources Holding Entity A a 0 0 CRa(A) Entity B b MCRb(B) PCRb(B) CRb(B) Note: Since “Holding Entity A” is a non-regulated entity, its MCR and PCR...

... Appendix B 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 20187 年 36 月 目錄 頁數 第1章 概覽 1 第2章 打擊洗錢/恐怖分子資金籌集制度及在香港以外 進行的業務 13 第3章 風險為本的方法 23 第4章 客戶盡職審查 29 第5章 持續監察 107116 第6章 金融制裁及恐怖分子資金籌集 113122 第7章 可疑交易報告 120128 第8章 備存紀錄 156164 第9章 職員培訓 163171 第10章 電傳轉帳 168176 附錄...

... director. In considering whether or not a director is involved in the management or control of the regulated activities of an agency or a broker company, the IA will take a “substance over form” approach to seek to understand the actual role played by the director in the agency or broker company. The type...

...代表單一當事 人開立，或每名當事人都個別開有附屬戶口，而且資金 並沒有在保險機構內混合在一起，則保險機構除了確立 開立戶口的律師的身分外，亦應識別相關當事人的身 分。 4.11 嚴格盡職審查(嚴格審查) 一般規定 附表2第15條 4.11.1 保險機構應對業務關係實施嚴格審查措施，以緩減及管 理以下情況所涉及的高洗錢及恐怖分子資金籌集風險： (a) 以性質而論，屬可引致高洗錢及恐怖分子資金籌集 風險的情況；或 (b) 保監局在給予該保險機構的書面通知中指明的情 況。 36 附表2第15條 4.11.2 保險機構應根據所識別的較高洗錢及恐怖分子資金籌集 風險因素，實施與洗錢及恐怖分子資金籌集風險性...