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mu200512.pdf
... .................................................................................9 10 EFFECTIVE DATE AND TERMINATION...............................................9 ANNEX A - LIST OF CONTACT PERSONS......................................................11 3 MEMORANDUM OF UNDERSTANDING (“MoU”) BETWEEN: The Securities and Futures Commission (the “SFC”) of 8th Floor, Chater House, 8...
https://www.ia.org.hk/english/supervision/int_dom_cooperation/files/mu200512.pdf -
Date: 2020-06-19
... communication between the IA and the CO and the MLRO of insurers, we consider it necessary to collect the up-to-date information of CO and MLRO of all insurers. In this regard, please complete the notification form at Annex A and return to us by 15 November 2021. If there are any subsequent changes to the...
https://www.ia.org.hk/english/legislative_framework/circulars/antimoney_laundering/files/InformationonCOandMLRO.pdf -
Date: 2021-11-26
[PDF]
Fast_Track_G_170915.pdf
... Fast Track for Authorization Applications New Insurers Owning and Operating Solely Digital Distribution Channels Fast Track for Authorization Applications – New Insurers Owning and Operating Solely Digital Distribution Channels Simon Lam Executive Director (General Business) 15 September 2017 2...
https://www.ia.org.hk/english/aboutus/task_force/activities_meetings/files/Fast_Track_G_170915.pdf -
Date: 2018-08-01
[PDF]
cir_aml_20170203.pdf
... the United Nations Sanctions (Somalia) (Amendment) Regulation 2017 (“the Somalia Amendment Regulation”) has been published in the Gazette (L.N. 15 of 2017) on 27 January 2017 and is available on the Government’s website http://www.gld.gov.hk/egazette/. The Somalia Amendment Regulation amends the...
https://www.ia.org.hk/english/legislative_framework/circulars/antimoney_laundering/files/cir_aml_20170203.pdf -
Date: 2018-01-15
... related to terrorism & terrorism financing R7 Targeted financial sanctions related to proliferation R10 Customer due diligence (CDD) R11 Record keeping R12 Politically exposed persons (PEPs) R20 Reporting of suspicious transactions R26 Regulation & supervision of financial institutions R27 Powers of...
https://www.ia.org.hk/english/supervision/antimoney_laundering/files/Mutual_Evaluation_Report_of_Hong_Kong_2019.pdf -
Date: 2021-11-12
... related to terrorism & terrorism financing R7 Targeted financial sanctions related to proliferation R10 Customer due diligence (CDD) R11 Record keeping R12 Politically exposed persons (PEPs) R20 Reporting of suspicious transactions R26 Regulation & supervision of financial institutions R27 Powers of...
https://www.ia.org.hk/english/supervision/antimoney_laundering/files/Mutual_Evaluation_Report_of_Hong_Kong_2019.pdf -
Date: 2022-04-27
... related to terrorism & terrorism financing R7 Targeted financial sanctions related to proliferation R10 Customer due diligence (CDD) R11 Record keeping R12 Politically exposed persons (PEPs) R20 Reporting of suspicious transactions R26 Regulation & supervision of financial institutions R27 Powers of...
https://www.ia.org.hk/english/supervision/antimoney_laundering/files/Mutual_Evaluation_Report_of_Hong_Kong_2019.pdf -
Date: 2019-11-05
... 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....
https://www.ia.org.hk/english/legislative_framework/circulars/reg_matters/files/Draft_Guideline_on_Enterprise_Risk_Management.pdf -
Date: 2018-11-30
... Customers 7. Appendix D2: Post-sale Call Content for Non-Vulnerable Customers 8. Appendix E: Flow Chart – ILAS Post-sale Call 9. Appendix F1: Notification letter to the customer (who have given uncertain replies but could not be reached again at subsequent follow-up calls) 10. Appendix F2: Notification...
https://www.ia.org.hk/english/supervision/reg_ins_intermediaries/files/3_HKFI_ILAS_Requirements_v3_22_4_2013_20190823.pdf -
Date: 2019-12-20