... industry Key Areas for Improvement: (Long Term Insurers) 1. Senior Management Oversight 2. Compliance Functions 3. Customer Risk Assessment 4. CDD Process 5. Screening of PEPs, Terrorists and Sanction Designations 6. Ongoing Monitoring 7. Suspicious Transaction Reporting 8. Staff/ Insurance Agent Training...

... 31-12-18 - - - - Canada Life Canada Life 31-12-18 - - - - 中國人壽 China Life 31-12-18 89,094 12,136,026 - 29,016,752 太壽香港 TPLHK 31-12-18 181 309,418 - 299,835 安達人壽 Chubb Life 31-12-18 508 4,497 - 31,613 信諾環球人壽 CIGNA Worldwide Life 31-12-18 7,395 33,320 - 389,520 Desjardins Financial Security Desjardins...

... arrangements and ability to comply with the Ordinance, are reproduced in the Annex. 3 3.4. Paragraphs 3.5, 3.6 and 3.7 below give general guidance to applicants as to the other grounds determining whether the IA will refuse an application under section 8(1)(b)(ii) of the Ordinance. The requirements set forth...

... arrangements and ability to comply with the Ordinance, are reproduced in the Annex. 3 3.4. Paragraphs 3.5, 3.6 and 3.7 below give general guidance to applicants as to the other grounds determining whether the IA will refuse an application under section 8(1)(b)(ii) of the Ordinance. The requirements set forth...

... arrangements and ability to comply with the Ordinance, are reproduced in the Annex. 3 3.4. Paragraphs 3.5, 3.6 and 3.7 below give general guidance to applicants as to the other grounds determining whether the IA will refuse an application under section 8(1)(b)(ii) of the Ordinance. The requirements set forth...

...  (a) and  (e)  in Q1 of the FNA  form) before such products can be recommended to customers?  A  4. Answers provided by customers in both Q1 and Q2 of the FNA form, among other  relevant circumstances of the customers, should be taken into account.    7.1 of GN15  issued by  the  IA  specifies  that...

... Guidance Notes GL13 GUIDELINE ON ASSET MANAGEMENT BY AUTHORIZED INSURERS Insurance Authority Contents Page 1. Preamble………………………………………….…………….. 1 2. Introduction…………………………………………………….. 2 3. Definition of the Investment Policy and Procedures…….……… 4 4. Monitoring and Control…………….…………………………... 9 5...

... suggested that it is unclear how a breach of trust (rather than fiduciary duty) would be relevant. To clarify our intention, we have replaced the word “trust” with the words “trust placed in the regulated person”. [Guideline paragraph 3.5(a)(viii).] 7 27. In relation to the knowledge of a responsible...

... suggested that it is unclear how a breach of trust (rather than fiduciary duty) would be relevant. To clarify our intention, we have replaced the word “trust” with the words “trust placed in the regulated person”. [Guideline paragraph 3.5(a)(viii).] 7 27. In relation to the knowledge of a responsible...

... licensed insurance intermediaries provided by the Insurance Authority (“IA”), worth 2.5 CPD hours Appendix: E-CPD Course Organized by the Insurance Authority Enrolment link: https://iahk.knowledgeplatform.com/ 中文譯本: 保險業監管局（「保監局」）為持牌...