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⏭... 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...
https://www.ia.org.hk/english/legislative_framework/files/Explanatory_Note_on_Licensing_Requirements_for_Employees_of_Authorized_Insurers.pdf -
Date: 2020-07-06
... 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...
https://www.ia.org.hk/english/legislative_framework/circulars/reg_matters/files/Explanatory_Note_on_Licensing_Requirements_for_Employees_of_Authorized_Insurers.pdf -
Date: 2018-11-30
..., 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...
https://www.ia.org.hk/english/supervision/reg_ins_intermediaries/files/2_PIBA_CoC_Inv._Linked_Busi._v2_20_12_2013_eg19.pdf -
Date: 2019-12-20
... 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
... • Additional requirements of ORSA Report for Tier 1 and Tier 2 Groups 32 10. Reporting to the Insurance Authority and Supervisory Review 36 11. Implementation 37 Glossary 38 Annex A Three-tier group-wide supervisory approach 41 Annex B Reportable types of intra-group transaction or event 43 1 1. Introduction...
https://www.ia.org.hk/english/legislative_framework/circulars/reg_matters/files/Draft_Guideline_on_Enterprise_Risk_Management.pdf -
Date: 2018-11-30
... 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...
https://www.ia.org.hk/english/legislative_framework/circulars/reg_matters/files/Cir_Agencies_dd_18122020.pdf -
Date: 2020-12-21
[PDF]
GL21.pdf
... - Liquidity Other risk management policies - Actuarial - Conduct - Cyber - Claims Management - Internal Controls - Data Quality 22 8. ERM Framework Review 34 9. Own Risk and Solvency Assessment (ORSA) • Minimum requirements of ORSA Report 36 10. Reporting to the Insurance Authority and Supervisory Review 40...
https://www.ia.org.hk/english/legislative_framework/files/GL21.pdf -
Date: 2020-09-24