繁
简

CIR

現時生效

Selling of Protection Linked Plan

Annex: Guidance to Authorized Institutions ("AIs") on Selling of Protection Linked Plan ("PLP")

Issue Date:

08 Jul 2022

20220708-5-EN.pdf (257.4 KB)

其他 - 證監會/保監/積金局

財富管理及強積金 - 保險產品

財富管理及強積金 - 證券及投資產品

Keyword:

Group: 所有認可機構

Directly related Document
Cross referenced Document
Version History
Superseded Document

Directly related Document

CIR

現時生效

08 Jul 2022

Selling of Protection Linked Plan

CIR

現時生效

23 Dec 2020

Frequently Asked Questions on Investor Protection Measures
CIR

現時生效

25 Sep 2019

Investor Protection Measures in respect of Investment, Insurance and Mandatory Provident Fund Products
CIR

現時生效

17 Dec 2014

Disclosure of Remuneration Receivable in respect of Sale of Investment-Linked Assurance Scheme (“ILAS”) Products
CIR

現時生效

22 Apr 2013

Selling of investment-linked assurance scheme (ILAS) products
CIR

現時生效

14 Mar 2011

Enhanced Regulatory Requirements on Selling of Investment-Linked Assurance Scheme (ILAS) Products

CIR

現時生效

08 Jul 2022

Selling of Protection Linked Plan

CIR

現時生效

23 Dec 2020

Frequently Asked Questions on Investor Protection Measures
CIR

現時生效

25 Sep 2019

Investor Protection Measures in respect of Investment, Insurance and Mandatory Provident Fund Products
CIR

現時生效

17 Dec 2014

Disclosure of Remuneration Receivable in respect of Sale of Investment-Linked Assurance Scheme (“ILAS”) Products
CIR

現時生效

22 Apr 2013

Selling of investment-linked assurance scheme (ILAS) products
CIR

現時生效

14 Mar 2011

Enhanced Regulatory Requirements on Selling of Investment-Linked Assurance Scheme (ILAS) Products

Version History

Superseded Document

You may also be interested in

CIR

現時生效

08 Dec 2014

銷售非投資相連長期保險 (「非投連長險」 )產品

附件: 認可機構於銷售非投連長險產品上應採取的實務手法

CIR

現時生效

08 Jul 2022

銷售保障型投資相連壽險

附件: 銷售保障型投資相連壽險指引附件（只備英文版本）

CIR

現時生效

14 Mar 2011

加強有關銷售投資相連壽險計劃產品的監管規定

附件: 銷售投資壽險計劃的監控措施

AML & CFT
- AML/CFT Controls
- Financial Sanctions
- Tax Matters Related
- Others
Authorization
- Digital Banking
- Guide to Authorization
- Mergers/Takeovers/Restructuring
- Minimum Criteria for Authorization
- Money Brokers
- Three-tier Banking System
- Others
Banking Conduct & Enforcement
- Account Opening/Maintenance
- Bank Culture
- Code of Banking Practice
- Complaints
- Consumer Protection
- Credit Data Sharing
- Enforcement/Discipline
- Financial Inclusion
- Others
Business Continuity Planning
Capacity Building
- Enhanced competency framework
- Others
Capital Adequacy
- Capital Base
- Capital Buffers
- CCR
- Credit Risk (non-securitization exposures)
- Credit Risk (securitization exposures)
- Market Risk
- Operational Risk
- Pillar 2
- SIBs
- Sovereign Concentration Risk
- Others
Consolidated Supervision
Corporate Governance
- Board Directorship
- Code of conduct
- Remuneration
- Others
Credit Risk Management
- CCR
- Corporate credit risk management
- Credit risk transfer/Mitigation
- Loan classification/Provisioning
- Property mortgage lending
- Retail credit risk management
- Others
Disclosure
- Pillar 3 requirements
- Others
Fintech
- Commercial data interchange
- Fintech supervisory sandbox
- Open API
- Regtech
- Smart Banking
- Suptech
- Virtual assets
- Others
Green & Sustainable Banking
- Climate risk management
- Sustainability reporting standards
- Others
Interest Rate Risk Management
Internal Controls
- Compliance function
- Insourcing/Outsourcing
- Internal audit function
- Risk management function
- Others
Large Exposures & Risk Concentrations
- Connected parties
- HKMCI-related exposures
- Limits on credit exposures
- Others
Leverage Ratio
Liquidity Risk Management
- Liquidity facilities
- Sound LRM framework
- Statutory liquidity requirements
- Others
Mainland Activities
Market Risk Management
- Algorithmic trading
- Foreign exchange
- Others
Miscellaneous
- BCBS
- Covid-19 challenges
- Deposit protection
- FSB
- SFC/IA/MPFA
- Others
Operational Risk Management
- Commercial Crime Bureau
- Fraud risk management
- Operational and IT incident watch
- Others
OTC Derivatives
- Clearing
- Margining/Risk-mitigation
- Reporting
- Trading
- Others
Recovery planning
Renminbi
Resolution
- Resolution execution
- Resolution framework
- Resolution planning
- Resolution standards
Strategic & Reputation Risk Management
Supervisory Approach
Technology Risk Management
- Cybersecurity
- E-banking
- Fraud risk management
- Others
Treasury market
- Reform of interest rate benchmarks
- Others
Trust Business
Wealth Management & MPF
- Insurance products
- MPF products
- Securities/investment products
- Others