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20180605_ppt.pdf
... applied; obtained senior management approval on the IRA results; a process to keep IRA up-to-date; and appropriate mechanisms to provide IRA to the IA upon request 3 ML/TF Risk Assessment IRA (Cont’d) 4 Product/ service risk Delivery/ distribution channel risk Customer risk Country risk AML/CFT...
https://www.ia.org.hk/english/supervision/antimoney_laundering/files/20180605_ppt.pdf -
Date: 2022-04-27
[PDF]
20180605_ppt.pdf
... applied; obtained senior management approval on the IRA results; a process to keep IRA up-to-date; and appropriate mechanisms to provide IRA to the IA upon request 3 ML/TF Risk Assessment IRA (Cont’d) 4 Product/ service risk Delivery/ distribution channel risk Customer risk Country risk AML/CFT...
https://www.ia.org.hk/english/supervision/antimoney_laundering/files/20180605_ppt.pdf -
Date: 2019-11-05
... Post-sale Call (“PSC”) requirement. Q3: Do these new requirements also apply to “Professional Investors”? A3: Yes, there is no special dispensation for this category of customer. Q4: If the policy is subject to a trust, is the PSC made to the “settler” or the “trustees? A4: Theoretically speaking, the call...
https://www.ia.org.hk/english/supervision/reg_ins_intermediaries/files/1.FAQ_on_Updated_Requirements_Relating_to_Sale_of_ILAS.pdf -
Date: 2019-12-20
[PDF]
GL19.pdf
... Requirements and Status of this Guideline ........... 2 3. Scope of Application ............................................................................................... 2 4. Criteria for Certification .......................................................................................... 2 5....
https://www.ia.org.hk/english/legislative_framework/files/GL19.pdf -
Date: 2020-09-24
[PDF]
GL19.pdf
... Requirements and Status of this Guideline ........... 2 3. Scope of Application ............................................................................................... 2 4. Criteria for Certification .......................................................................................... 2 5....
https://www.ia.org.hk/english/legislative_framework/circulars/reg_matters/files/GL19.pdf -
Date: 2019-11-29
... ...
https://www.ia.org.hk/english/legislative_framework/circulars/reg_matters/files/circular_24Nov2017_GL4.pdf -
Date: 2018-01-12
...No Content...
https://www.ia.org.hk/english/infocenter/forms/files/Broker_Company_Application_Form_A4.pdf -
Date: 2024-09-12