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Interpretation_Notes.pdf
... 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...
https://www.ia.org.hk/english/legislative_framework/files/Interpretation_Notes.pdf -
Date: 2020-09-24
... 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...
https://www.ia.org.hk/english/supervision/reg_ins_intermediaries/files/GL_26_Interpretation_Notes_Eng.pdf -
Date: 2020-06-24
[PDF]
Interpretation_Notes.pdf
... 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...
https://www.ia.org.hk/english/legislative_framework/circulars/reg_matters/files/Interpretation_Notes.pdf -
Date: 2019-11-29
... 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...
https://www.ia.org.hk/english/infocenter/files/Broker_Rules_Conclusions_Eng.pdf -
Date: 2019-09-03
... 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...
https://www.ia.org.hk/english/infocenter/files/final_Broker_Rules_Conclusions_Eng.pdf -
Date: 2019-09-03
... 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...
https://www.ia.org.hk/english/supervision/reg_ins_intermediaries/files/Broker_Rules_Conclusions_Eng.pdf -
Date: 2019-09-10
... 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...
https://www.ia.org.hk/english/supervision/reg_ins_intermediaries/files/final_Broker_Rules_Conclusions_Eng.pdf -
Date: 2019-09-10
... Insurance Agents by Responsible Officers and Technical Representatives 36. A person shall not act as a Responsible Officer or Technical Representative for more than one insurance agent. Obligations of Insurance Agents in respect of their Responsible Officers and Technical Representatives 37. An insurance...
https://www.ia.org.hk/english/supervision/reg_ins_intermediaries/files/8a_HKFI_CoP_for_Admin_of_Agents_v7b_24_5_2018_20190823.pdf -
Date: 2019-12-20