... that the Insurance Company is not responsible for the advice given by the insurance broker. To facilitate this 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. 4.6 Post-sale Controls...

... The Insurance Companies (Margin of Solvency) Regulation elaborates on the calculation of solvency margin by class of business for long-term business. In summary, the solvency margin calculation is factor-based and is subject to dollar amount minimums, which vary by type of insurers. In general, the...

... regulated activity during the training session. Q12:A senior manager of an authorized insurer who is an experienced insurance practitioner is invited by an education institute to give a presentation on a specific type of insurance product in an educational seminar. Is the senior manager required to be...

... regulated activity during the training session. Q12:A senior manager of an authorized insurer who is an experienced insurance practitioner is invited by an education institute to give a presentation on a specific type of insurance product in an educational seminar. Is the senior manager required to be...

... regulated activity during the training session. Q12:A senior manager of an authorized insurer who is an experienced insurance practitioner is invited by an education institute to give a presentation on a specific type of insurance product in an educational seminar. Is the senior manager required to be...

..., and procure client to acknowledge receipt thereof in writing and such written acknowledgment should be kept in the client file. Member is also recommended to explain to client in writing the type of services being or to be provided or offered. 7.2 Member should take reasonable steps to ensure that all...

... 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...

... 4.11.6 段所提供的指引，採取嚴格審查措施緩減該風險。 38 在處理本地政治人物或國際組織政治人物不再擔任重要公職的情況時應根據風險評估，而不可單純根據指 定時限。 40 業務關係採取或繼續採取第 4.11.11 段列載的嚴格審查措 施： (a) 該名個人仍可發揮的(非正式)影響力； (b) 該名個人作為政治人物時所擔任職位的級別；或 (c) 該名個人以往及現有職能是否有任何關連 (例如由該 政治人物的繼任人委任而有正式關連或因該政治人 物繼續處理相同的重要事務而有非正式關連 )。 保險機構應就以上決定取得其高級管理層的批准。 適用於各類政治人物的進一步指引 政治人物的涵蓋範圍 4.11.18...

...所述的任何類別的中級或更低級 官員； (b) 上文 (a)段所指的個人的配偶、伴侶、子女或父母， 或該名個人的子女的配偶或伴侶；或 (c) 與(a)段所指的個人關係密切的人(見第4.11.8段)。 4.11.13 國際組織政治人物被界定為： (a) 在國際組織擔任或曾擔任重要職位的個人 (i) 並包括高級管理層成員，即董事、副董事及董事 會成員或同等職能； (ii) 但不包括國際組織的中級或更低級人員； 40 (b) 上文 (a)段所指的個人的配偶、伴侶、子女或父母， 或該名個人的子女的配偶或伴侶；或 (c) 與(a)段所指的個人關係密切的人(見第4.11.8段)。 4.11.14 第...

...全面而有效 地執行，特別組織會透過評核來監察各司法管轄區的合規情況， 並在評核後進行嚴格的跟進程序，其中包括識別高度風險及不合 作的司法管轄區。特別組織可能會加強對這些地區的審查工作， 而特別組織的成員及國際社會也可能對這些司法管轄區採取針 對措施。很多大型經濟體系都已加入特別組織，形成國際合作的 全球網絡，促進成員司法管轄區之間的交流。作為特別組織的成 2保險中介人意指經營長期業務或就長期業務提供意見的獲委任保險代理人及獲授權保險經紀。 8 員，香港有責任實施特別組織所訂立的打擊洗錢規定，包括40項 建議及9項特別建議（下文統稱「特別組織的建議」）3。香港必 須符合國際打擊洗錢標準，以維持它...