... 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...

... 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...

... draft Rules. The reconciliation process for broker companies which seldom handle client monies would be relatively straightforward. Should any broker company encounter difficulties in preparing the relevant reconciliation statement, it is encouraged to contact us for discussion. 36. The offence stated...