... within a period of three years from the date of signing of the relevant client agreement and/or related correspondence; and (c) deemed compliance in respect of B and C below will not apply where the client agreement and/or related correspondence does not clearly specify that any brokerage to be received...

... of the investigator and invite the Regulated Person to respond within a certain period of time. The Preliminary Findings Letter and the opportunity to respond, provide another avenue for the Regulated Person to address the allegations and may also serve as a means of narrowing the issues in dispute....

... of the investigator and invite the Regulated Person to respond within a certain period of time. The Preliminary Findings Letter and the opportunity to respond, provide another avenue for the Regulated Person to address the allegations and may also serve as a means of narrowing the issues in dispute....

... monitoring reports with respect to virtual onboarding customers, Good Practice Company monitors regularly transaction patterns for them. Examples of transaction monitoring reports: Cross-border payments for offshore customers Early surrender / cooling-off cases Premiums refunds volume Withdrawals frequency...

... monitoring reports with respect to virtual onboarding customers, Good Practice Company monitors regularly transaction patterns for them. Examples of transaction monitoring reports: Cross-border payments for offshore customers Early surrender / cooling-off cases Premiums refunds volume Withdrawals frequency...

... June 2021 The IA received 738 complaints during the period from 1st January 2021 to 30th June 2021 (compared to 778 over the same period in 2020). In terms of category, the most significant number of complaints were received in the category of “conduct”. Explanation of Complaint categories Conduct...

... June 2021 The IA received 738 complaints during the period from 1st January 2021 to 30th June 2021 (compared to 778 over the same period in 2020). In terms of category, the most significant number of complaints were received in the category of “conduct”. Explanation of Complaint categories Conduct...

... premium policy, Members should include, but without limitation, the following:- 13.1 the premium/liquid asset ratio, where the premium is that of the recommended product and the amount of liquid asset should be that identified during the “Know Your Client” procedures; 13.2 the lock-up period (i.e. when...

... business in Hong Kong for a cumulative period of at least fi ve years within the six-year period immediately before 15 May 2006; iii. for an Applicant who has not passed the paper on Travel Insurance Agents Examination under the Insurance Intermediaries Qualifying Examination recognized by the Insurance...

... year beginning on or after 1 January 2021 onwards. As such, the period from 1 January 2021 to 31 December 2021 is the first financial year to which rule 8(2) of the Broker Rules will apply. Rule 8(2) of the Broker Rules requires a licensed insurance broker company to include the following information...