... activities? A2: In this scenario, the bank staff does not provide, explain or discuss with the client any information relating to a particular insurance product. Rather, the bank staff is introducing the generic insurance concept of annuities to the client (i.e. providing generic information on a type of...

... (l) was or has been, in connection with the management of a body corporate or insurer in Hong Kong or elsewhere, a controller, director, key person in control functions or appointed actuary of the body corporate or insurer, which, (i) with the consent or connivance of, or because of the neglect or...

... 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...

... 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...

... 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...

..., 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...

... Draft Guideline on Enterprise Risk Management GUIDELINE ON ENTERPRISE RISK MANAGEMENT Insurance Authority Table of Contents Page 1. Introduction 1 2. Application 2 3. Overview of Enterprise Risk Management (ERM) Framework and General Requirements 4 4. Governance 7 5. Risk Appetite Statement 10 6. E...

... 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...

... that the Insurance Company is not responsible for the advice given by the insurance broker. To facilitate this differentiation, a specific set of Important Facts Statement must be prepared for this purpose and must be used for business introduced from this type of intermediary. 4.6 Post-sale Controls...

... Republic Regulation”) has been published in the Gazette (L.N. 79 of 2017) on 12 May 2017 and is available on the Government’s website http://www.gld.gov.hk/egazette/. The Central African Republic Regulation implements sanctions against the Central African Republic as renewed by the United Nations Security...