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mu200512.pdf
... ................................................................................3 2 DEFINITIONS..............................................................................................3 3 REASONS FOR THE MOU ........................................................................4 4 RELEVANT RESPONSIBILITIES OF THE IA UNDER THE MOU......4 5 RELEVANT RESPONSIBILITIES OF THE...
https://www.ia.org.hk/english/supervision/int_dom_cooperation/files/mu200512.pdf -
Date: 2021-11-01
[PDF]
mu200512.pdf
... ................................................................................3 2 DEFINITIONS..............................................................................................3 3 REASONS FOR THE MOU ........................................................................4 4 RELEVANT RESPONSIBILITIES OF THE IA UNDER THE MOU......4 5 RELEVANT RESPONSIBILITIES OF THE...
https://www.ia.org.hk/english/supervision/int_dom_cooperation/files/mu200512.pdf -
Date: 2021-09-01
[PDF]
mu200512.pdf
... ................................................................................3 2 DEFINITIONS..............................................................................................3 3 REASONS FOR THE MOU ........................................................................4 4 RELEVANT RESPONSIBILITIES OF THE IA UNDER THE MOU......4 5 RELEVANT RESPONSIBILITIES OF THE...
https://www.ia.org.hk/english/supervision/int_dom_cooperation/files/mu200512.pdf -
Date: 2020-06-19
... Special Administrative Region AML/CTF Ordinance (AMLO) It consists of 8 Parts and 4 Schedules Part 1 .s1: commencement date Part 2.s5: Sch 2 which contains the CDD and record-keeping requirements has effect with respect to Fls: providing that a contravention of a specified requirement constitutes an...
https://www.ia.org.hk/english/supervision/antimoney_laundering/files/e-ppt20111230-01-text.pdf -
Date: 2021-11-12
... Special Administrative Region AML/CTF Ordinance (AMLO) It consists of 8 Parts and 4 Schedules Part 1 .s1: commencement date Part 2.s5: Sch 2 which contains the CDD and record-keeping requirements has effect with respect to Fls: providing that a contravention of a specified requirement constitutes an...
https://www.ia.org.hk/english/supervision/antimoney_laundering/files/e-ppt20111230-01-text.pdf -
Date: 2022-04-27
... Special Administrative Region AML/CTF Ordinance (AMLO) It consists of 8 Parts and 4 Schedules Part 1 .s1: commencement date Part 2.s5: Sch 2 which contains the CDD and record-keeping requirements has effect with respect to Fls: providing that a contravention of a specified requirement constitutes an...
https://www.ia.org.hk/english/supervision/antimoney_laundering/files/e-ppt20111230-01-text.pdf -
Date: 2019-11-05
... “Know Your Client” procedures. 2. The assessment of the clients’ needs should refer to their financial circumstances, total protection needs and requirements as disclosed and duly recorded in the forms or instruments of the Members in conducting the “Know Your Client” procedures. 3. If the clients are...
https://www.ia.org.hk/english/supervision/reg_ins_intermediaries/files/2_CIB_GN12_on_Product_Recommend_for_LT_v2_13_10_2015_eg19.pdf -
Date: 2019-12-20
... insurance intermediary but the existing policy was sold through a means which meets all of the conditions in paragraph 4.4 of the Guideline, will the exemption still apply? A2 No, the exemption will not apply to new life insurance policy sold through a licensed insurance intermediary. Any questions...
https://www.ia.org.hk/english/legislative_framework/files/Interpretation_Notes_to_GL27.pdf -
Date: 2020-09-24
... insurance intermediary but the existing policy was sold through a means which meets all of the conditions in paragraph 4.4 of the Guideline, will the exemption still apply? A2 No, the exemption will not apply to new life insurance policy sold through a licensed insurance intermediary. Any questions...
https://www.ia.org.hk/english/legislative_framework/circulars/reg_matters/files/Interpretation_Notes_to_GL27.pdf -
Date: 2020-12-21
... business day of receipt. 4.2 When receiving mixed remittance, i.e. part client monies and part other monies (e.g. commission), in one payment, deposit the full amount into the client accounts. 4.3 Hold own monies of the insurance brokers in client accounts ONLY when the monies are:- (a) The minimum amount...
https://www.ia.org.hk/english/supervision/reg_ins_intermediaries/files/1_CIB_GN11_Guidance_Note_on_Keeping_of_Separate_Client_Monies_v1_16_8_2013_eg19.pdf -
Date: 2019-12-20