... with the requirements relating to the PII indemnity limit (generally 2 times of brokerage income) and proper handling of client monies3 by insurance broker companies. 45. Moreover, for insurance broker companies carrying on both general and long term business and those heavily reliant on business...

... with the requirements relating to the PII indemnity limit (generally 2 times of brokerage income) and proper handling of client monies3 by insurance broker companies. 45. Moreover, for insurance broker companies carrying on both general and long term business and those heavily reliant on business...

... with the requirements relating to the PII indemnity limit (generally 2 times of brokerage income) and proper handling of client monies3 by insurance broker companies. 45. Moreover, for insurance broker companies carrying on both general and long term business and those heavily reliant on business...

...) Numerical Example (please refer to section (e) for the relevant formulae) Definition of quantities Supervised group member Jurisdiction of incorporation MCR PCR Eligible capital resources Holding Entity A a 0 0 CRa(A) Intermediate Holding Entity B b 170* 220* CRb(B)* Subsidiary C c 25 45 55 Affiliate D d...

... 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...

...) 45. 46. 47. 48. * Seven respondents asked not to be identified. 49. 50. 51. 13 Annex B Summary of feedback on the consultation questions and responses from OCI Question 1 Do you agree that a total balance sheet approach should be adopted in the assessment of solvency, valuation of assets and...

... 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...

... 戶的業務往來，或是自動將他們歸類為高風險客戶，因而 使該等客戶接受更嚴格的盡職審查程序。反之，金融機構 應衡量個別處境下的所有情況，並且評估是否存在高於正 常的洗錢/恐怖分子資金籌集風險。 附表2 4.1.7 打擊洗錢條例對某人與金融機構之間的「業務關係」一詞 http://www.google.com.hk/search?hl=zh-TW&gs_sm=e&gs_upl=3765l11437l0l12109l5l5l1l0l0l0l312l812l0.2.1.1l4l0&q=%E6%AF%8B%E9%A0%88%E7%84%A1%E9%A0%88&ct=broad-revision&cd...

... 2(1)條所界定的持牌營業 員； (d) 法律專業人士，即： 45 (i) 《法律執業者條例》第 2(1)條所界定的律師； 或 (ii) 《法律執業者條例》第 2(1)條所界定的外地律 師；或 (e) 信託或公司服務持牌人，即： (i) 持有根據《打擊洗錢條例》第 53G 條批給或根 據第 53K 條續期的牌照的人；或 (ii) 《打擊洗錢條例》第 53ZQ(5)條所界定的當作 持牌人， 然而，如本地中介人本身為會計專業人士、地產代理、 法律專業人士或信託或公司服務持牌人，保險機構須信 納該本地中介人有足夠程序以防止洗錢及恐怖分子資金 籌集活動，並須就有關客戶遵從附表 2 所載的相關規定 41...

...的複本、數 據或資料的紀錄。 附表2第18(4)(b) 條 4.13.6 如該等文件及紀錄由中介人備存，保險機構應獲中介人 承諾，在保險機構與有關客戶的業務關係持續期間，以 及由有關業務關係終止的日期起計至少 5 年內，或直至 保監局可能指明的有關時間，備存所有相關的盡職審查 45 資料。保險機構應確保在《打擊洗錢條例》的備存紀錄 規定所列明的期間內，在保險機構向該中介人提出要求 時，該中介人會在接獲該要求後，在合理地切實可行的 範圍內，盡快向保險機構提供該中介人在採取有關盡職 審查措施時取得的任何文件的複本或任何數據或資料的 紀錄。保險機構亦應獲中介人承諾，在中介人即將結業 或不...