... Mutual Evaluation Report of Hong Kong Dickson Chui – Senior Manager Steven Ho – Manager Market Conduct Division 21 October 2019 Mutual Evaluation Report of Hong Kong Agenda FATF/APG1 Mutual Evaluation2 Insurance Authority 3 Private Sector4 Recommended Action5 What is FATF? • Financial Action Task...

... specified period from inception and obtain a refund. September 2019 Page 21 Section IV General Principle 4 – Competence to Advise A licensed insurance agent should possess appropriate levels of professional knowledge and experience and only carry on regulated activities in respect of which the agent has the...

... specified period from inception and obtain a refund. September 2019 Page 21 Section IV General Principle 4 – Competence to Advise A licensed insurance agent should possess appropriate levels of professional knowledge and experience and only carry on regulated activities in respect of which the agent has the...

... specified period from inception and obtain a refund. September 2019 Page 21 Section IV General Principle 4 – Competence to Advise A licensed insurance agent should possess appropriate levels of professional knowledge and experience and only carry on regulated activities in respect of which the agent has the...

... 7 月 31 日 尚欠持續專業培訓時數多於 50%的個人持牌人，在 2021 年 10 月 31 日或之 前補回尚欠時數，以免被處以罰款以上的罰則（即暫時吊銷或撤銷牌照）。 II. 匯報持續專業培訓合規紀錄 Q4 個人持牌人和他們的委任主事人如何向保監局匯報持續專業培訓時數或持續 專業培訓合規情況？ A4 有關持續專業培訓合規情況的匯報程序，可查閱保監局網站內發布的通函， 日期為 2021 年 4 月 1 日 - 持續專業培訓規定 — 2019/20 及 2020/21 評核期 的持續專業培訓合規情況匯報程序及 2021 年 7 月 7 日 -「持續專業培訓規定 2019/20 及 2020...

... release the insurer from further administrative burden, all non-payment cases are deemed to be settled once they are reported to IA and it is NOT necessary to reporting them in Annex O again. Q21 Do authorised...

... – Policy Replacement” to you. Signature of the Applicant/Proposer Date ( DD / MM / YYYY) Signature of Licensed Insurance Intermediary Date ( DD / MM / YYYY ) Full name of Licensed Insurance Intermediary Type of License and License No. 13 Appendix B Important Facts Statement - Policy Replacement This...

... – Policy Replacement” to you. Signature of the Applicant/Proposer Date ( DD / MM / YYYY) Signature of Licensed Insurance Intermediary Date ( DD / MM / YYYY ) Full name of Licensed Insurance Intermediary Type of License and License No. 13 Appendix B Important Facts Statement - Policy Replacement This...

... scanned images recorded and maintained in their system are of good quality CDD Process – Copies of Customer Identification Documents 21 5. Screening of PEPs, Terrorists & Sanction Designations Findings: No/ Incomplete requisite screening on policyholders/ beneficial owners at the time of establishing...