... 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...

... 人進行盡職審查。如負責執行盡職審查措施的人(投資公 司 36或獲委任機構 )屬附表2第4(3)(d)條所載的任何機構 類別，而保險機構信納該投資公司已確保有可靠的制度 及管控措施，可按照與附表2所列載相若的規定對相關投 資者進行盡職審查 (包括識別及核實身分 )，則保險機構 可選擇不識別及不採取合理措施核實該客戶的實益擁有 人的身分。 4.10.16 如有關投資公司或獲委任機構均不符合附表 2 第 4(3)(d) 條所載的任何機構類別，則保險機構應識別任何擁有或 控制該投資公司 25%以上權益的投資者的身分。保險機 構可考慮是否適宜依賴負責進行盡職審查的投資公司或 獲委任機構 (視情況而定...

... 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...

..., Undersecretariat of Treasury of Turkey (20 March 2013) 36. Nebraska Department of Insurance, USA (12 April 2013) 37. Insurance Regulatory and Development Authority, India(1 May 2013) 38. Capital Markets, Insurance and Savings Division, Israel (29 November 2013) 39. Financial Services Commission, Mauritius (20...

..., Undersecretariat of Treasury of Turkey (20 March 2013) 36. Nebraska Department of Insurance, USA (12 April 2013) 37. Insurance Regulatory and Development Authority, India(1 May 2013) 38. Capital Markets, Insurance and Savings Division, Israel (29 November 2013) 39. Financial Services Commission, Mauritius (20...

..., Undersecretariat of Treasury of Turkey (20 March 2013) 36. Nebraska Department of Insurance, USA (12 April 2013) 37. Insurance Regulatory and Development Authority, India(1 May 2013) 38. Capital Markets, Insurance and Savings Division, Israel (29 November 2013) 39. Financial Services Commission, Mauritius (20...

..., Undersecretariat of Treasury of Turkey (20 March 2013) 36. Nebraska Department of Insurance, USA (12 April 2013) 37. Insurance Regulatory and Development Authority, India(1 May 2013) 38. Capital Markets, Insurance and Savings Division, Israel (29 November 2013) 39. Financial Services Commission, Mauritius (20...