Compliance, Legislative & Regulatory Standards

[Webinar] Keeping Pace with the Regulatory Regime for Insurance Intermediaries



To ensure conducting insurance intermediary business in a compliant way, this course aims to keep licensed insurance agencies or licensed insurance broker companies (‘licensed corporates’) and licensed insurance agents or licensed technical representatives (agent or broker) (‘licensed individuals’) abreast of the latest regulatory developments.


By the end of this course, participants will know:
1. applicable legal/ regulatory requirements
2. latest regulatory developments and their possible implications on business operations and conduct of industry practitioners


1. Recap applicable legal/ regulatory requirements
- Recap key applicable provisions to licensed corporates and licensed individuals under the Insurance Ordinance
2. Recap applicable codes, guidelines and regulatory requirements by highlighting key obligations as a responsible officer or as an individual agent/ broker/ technical representative
- Code of conduct
- Guidelines
- Regulatory requirements
3. Recap the latest developments
- Highlight the latest developments for licensed corporates and licensed individuals on:
- Licensing
- Implementation of the guidelines
- Supervisory approach
- Enforcement approach
4. Evaluate possible implications on industry practitioners
- Based on the latest regulatory developments above, the speaker will discuss possible implications on business operations or conduct to carry on business such as management oversight or provision of staff training

Who should attend

This course is primarily targeted at licensed insurance brokers, agencts and technical representatives. It is also applicable to in-house counsel, compliance officer and senior management such as responsible officers, directors and CEOs of insurance companies.

Speaker/Course Instructor

Ms. Yau was a Senior Compliance Manager of a bank and has extensive experiences in compliance function of various financial institutions. She is experienced in delivering compliance related training. She was awarded the degrees of the Bachelor Degree of Arts in Accountancy and the Master of Laws in Corporate & Financial Law.


Date & Time
Monday, 27 Sep 2021 (6:30PM - 8:30PM)
Virtual Platform
Trad. Chi / Cantonese
SFC:2.00, PWMA:2.00