... Futures Ordinance 5.3.2 Licensing and Registration Requirements 5.3.3 Other Relevant Codes Issued by the Securities and Futures Commission 5.3.4 Offer of Investment 5.3.5 Market Misconduct 5.3.6 CIS Internet Guidance Note 5.4 Other Relevant Legislation 5/21 5.4.1 Prevention of Money Laundering and...

... Code of Conduct 5/18 5.3.1 Securities and Futures Ordinance 5.3.2 Licensing and Registration Requirements 5.3.3 Other Relevant Codes Issued by the Securities and Futures Commission 5.3.4 Offer of Investment 5.3.5 Market Misconduct 5.3.6 CIS Internet Guidance Note 5.4 Other Relevant Legislation 5/21...

...投 訴局（「投訴局」） 5.1.4 Index (page (3)) Part II – Travel Insurance 4. Chapter 21(c) is replaced by the text below: (c) Insurance Complaints Bureau (‘ICB’): Instead of resorting to arbitration in accordance with the arbitration provision, if any, or to legal action, an insured person may make a...

... - Investment - Reinsurance and Risk Transfer - Liquidity  Other risk management policies - Actuarial - Conduct - Cyber - Claims Management - Internal Controls - Data Quality 21 8. ERM Framework Review 31 9. Own Risk and Solvency Assessment (ORSA) • Minimum requirements of ORSA Report at solo level...

... product risks, key exclusions, 21- day cooling-off period etc. 8.4 The proper sales process flow is set out in the flowchart at the Annex. It involves completion of the FNA (if applicable), confirmation of needs, comparison of different insurance options (where FNA has been performed), and explanation of...

... Travel Insurance Agents Examination Study Notes Insurance Intermediaries Quality Assurance Scheme Travel Insurance Agents Examination Study Notes 2014 Edition PREFACE Divided into Part I – Principles and Practice of Insurance, and Part II – Travel Insurance, these Study Notes have been prepared to ...

... approach taken in drafting the Agents’ Code, the legal basis for the Agents’ Code, its structure, its position in the wider insurance regulatory framework, its relationship to the Statutory Conduct Requirements, its application and the effect of a breach of the Agents’ Code. Feedback received 21. A number...

... approach taken in drafting the Agents’ Code, the legal basis for the Agents’ Code, its structure, its position in the wider insurance regulatory framework, its relationship to the Statutory Conduct Requirements, its application and the effect of a breach of the Agents’ Code. Feedback received 21. A number...

... TIA Study Notes Insurance Intermediaries Quality Assurance Scheme Travel Insurance Agents Examination Study Notes 2017 Edition i PREFACE Divided into Part I – Principles and Practice of Insurance, and Part II – Travel Insurance, these Study Notes have been prepared to correspond with the various Ch...

... supervised group. “Entity A” is the designated insurance holding company and it is a non- regulated entity. “Entity B” is authorized to carry on insurance business in jurisdiction b and, hence, is a regulated entity. 21 b) Definition of quantities Supervised group member Jurisdiction of incorporation MCR PCR...