... Observation • No evidence that PEP / terrorist checking (such as making reference to publicly available information and screening against current terrorist and sanctions designations) was performed against the customers. • Use of third party vendor to conduct comprehensive screening (Ref: Guideline paragraph...

... Observation • No evidence that PEP / terrorist checking (such as making reference to publicly available information and screening against current terrorist and sanctions designations) was performed against the customers. • Use of third party vendor to conduct comprehensive screening (Ref: Guideline paragraph...

... insurer (with the main manifestation being the duty to disclose all material facts before the insurance policy is entered into). The duty owed by a broker to a client, by contrast, is a fiduciary one which is characterized by “good faith”. 37. Respondents also commented that marketing materials are mostly...

... insurer (with the main manifestation being the duty to disclose all material facts before the insurance policy is entered into). The duty owed by a broker to a client, by contrast, is a fiduciary one which is characterized by “good faith”. 37. Respondents also commented that marketing materials are mostly...

..., a detailed description of its proposed overseas operations and the proportion in its global business portfolio. - 8 - 25. A brief summary of the material reinsurance arrangements in respect of each class of insurance business to be written in or from Hong Kong including the company's maximum...

..., a detailed description of its proposed overseas operations and the proportion in its global business portfolio. - 8 - 25. A brief summary of the material reinsurance arrangements in respect of each class of insurance business to be written in or from Hong Kong including the company's maximum...

..., a detailed description of its proposed overseas operations and the proportion in its global business portfolio. - 8 - 25. A brief summary of the material reinsurance arrangements in respect of each class of insurance business to be written in or from Hong Kong including the company's maximum...

... reporting of criminal offences, it was suggested an exception be made for minor criminal offences. 37. Respondents sought clarification on the term “undue influence” and the meaning of pressuring clients into making material decisions (Standard and Practice 1.4 of the draft Agents’ Code). One respondent...

... reporting of criminal offences, it was suggested an exception be made for minor criminal offences. 37. Respondents sought clarification on the term “undue influence” and the meaning of pressuring clients into making material decisions (Standard and Practice 1.4 of the draft Agents’ Code). One respondent...