Compliance Training Courses for Insurance Agents Module 1: IA’s Code of Conduct for Licensed Insurance Agents

Objectives: (This course provides Chinese objectives only)

本課程旨在重温保險業監管局及其他監管機構，對保險代理人的行為操守及商業道德的要求，藉此希望加強保險代理人的素質。

Contents:

Module 1: IA’s Code of Conduct for Licensed Insurance Agents

• Background and introduction of Insurance Authority (“IA”)’s Code of Conduct for Licensed Insurance Agents (Agents’ Code)
• Major contents
• General Principles
  • Honesty and Integrity
  • Acting and Fairly and in the Client’s Best Interests
  • Exercising Care, Skill and Diligence
  • Competence to Advise
  • Disclosure of Information
  • Suitability of Advice
  • Conflicts of Interest
  • Client Assets
• Corporate Governance and Controls and Procedures