..., promotions or incentives set out in paragraph 6.1 above  to  an  insurance  broker, Member  Companies  should  ensure  they  do  not  create  a  conflict  of  interest in the duty that insurance broker owes to the policyholder (or potential policyholder).    7. Insurance Intermediaries    Insurance...

... their registrants are not involved in the fund selection, they are not duty-bound to alert clients of any mismatch between their risk level of the portfolios and risk profiles, but when such mismatch is identified when the risk profile procedures are conducted under point 16 above, Members and their...

... value at the time of death. Who should consider it? Young people wi th l imi ted financial means; individuals who have high protection needs for a period of time or who are looking solely for protection and have other financial plans Individuals in a strong financial s i t ua t i on w ho wa n t b o t h...

... the decision to / not to file an STR with JFIU (7.30) • Respective departments keep their own logs of internal disclosure for proper audit trail (7.31) 22 DONDON’’TsTs • Unnecessary delay in reporting suspicious transactions (7.16) • MLRO’s duty of review of exception reports delegated to operations...

... conduct is potentially damaging or detrimental to the integrity and stability of the industry and/or the reputation of Hong Kong as an international financial centre; (viii) whether the conduct involves a breach of fiduciary duty or trust placed in the regulated person; (ix) whether there are a number of...

... the decision to / not to file an STR with JFIU (7.30) • Respective departments keep their own logs of internal disclosure for proper audit trail (7.31) 22 DONDON’’TsTs • Unnecessary delay in reporting suspicious transactions (7.16) • MLRO’s duty of review of exception reports delegated to operations...

... conduct is potentially damaging or detrimental to the integrity and stability of the industry and/or the reputation of Hong Kong as an international financial centre; (viii) whether the conduct involves a breach of fiduciary duty or trust placed in the regulated person; (ix) whether there are a number of...

... conduct is potentially damaging or detrimental to the integrity and stability of the industry and/or the reputation of Hong Kong as an international financial centre; (viii) whether the conduct involves a breach of fiduciary duty or trust placed in the regulated person; (ix) whether there are a number of...

... the decision to / not to file an STR with JFIU (7.30) • Respective departments keep their own logs of internal disclosure for proper audit trail (7.31) 22 DONDON’’TsTs • Unnecessary delay in reporting suspicious transactions (7.16) • MLRO’s duty of review of exception reports delegated to operations...

... conduct is potentially damaging or detrimental to the integrity and stability of the industry and/or the reputation of Hong Kong as an international financial centre; (viii) whether the conduct involves a breach of fiduciary duty or trust placed in the regulated person; (ix) whether there are a number of...