Overview of the New Regulatory Framework Under Insurance Ordinance

Overview of the New Regulatory Framework Under Insurance Ordinance

概要

This course provides a high-level overview of the new regulatory framework after the Insurance Authority commenced direct regulation over insurance intermediaries as from 23 September 2019.

宗旨

To give practitioners some highlights of the latest regulatory development of the insurance industry.

內容

1. Functions of the Insurance Authority
- Licensing
- Supervision
- Enforcement
- Consumer Protection

2. New licensing regime under the Insurance Ordinance
- Activities that may trigger licensing regime
- Types of licences

3. Supervisory guidelines
- Guidelines on the Fit and Proper Criteria
- Guidelines in the Continuing Professional Development for Licensed Insurance Intermediaries
- Conduct requirements for intermediaries
I. Code of Conduct for Licensed Insurance Brokers
II. Code of Conduct for Licensed Insurance Agents

4. Enforcement - Guidelines on exercising power to impose pecuniary penalty in respect of regulated persons under the Insurance Ordinance

5. Consumer protection - Complaint handling

對象

Front line or back office function of insurance intermediaries

導師/講者

游淑敏
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.

詳情

活動編號
TPRCR19010001
日期及時間
2019年12月10日, 星期二 (6:30下午 - 8:30下午)
地點
香港證券及投資學會培訓中心
語言
廣東話
級別
Introductory
課程時數
SFC:2.00, PWMA:2.00