Financial One Platform Services Limited

1780243200000

1827504000000

(1) Subject to condition (2) below, the Licensee shall not carry on, or hold itself out as carrying on, any of the following regulated activities where the insurance business is sourced through the acceptance of any referral from another person who is acting or holding out as acting in the course of that person’s business or employment or for reward: (a) negotiating or arranging any new contract of insurance; (b) inviting or inducing, or attempting to invite or induce, any person to enter into a new contract of insurance; (c) inviting or inducing, or attempting to invite or induce, any person to decide to submit an application or proposal for a new contract of insurance; or (d) giving regulated advice in relation to making an application or proposal for a new contract of insurance.

(1) 除符合下文第（2）項條件以外，如保險業務是透過接受任何由其他人士作出之轉介而取得（「該保險業務」），而該人士是或顯示自己是在其業務或受僱工作的過程中，或為報酬而行事，則持牌人就該保險業務不得進行或不得顯示自己進行以下任何受規管活動： (a) 洽談或安排任何新的保險合約； (b) 邀請或誘使任何人訂立任何新的保險合約，或企圖邀請或誘使任何人訂立任何新的保險合約； (c) 邀請或誘使任何人就任何新的保險合約提出申請或作出建議而作出關鍵決定，或企圖邀請或誘使任何人就任何新的保險合約提出申請或作出建議而作出關鍵決定； 及 (d) 就任何新的保險合約提出申請或作出建議而提供受規管意見。

(1) 除符合下文第（2）项条件以外，如保险业务是透过接受任何由其他人士作出之转介而取得（「该保险业务」），而该人士是或显示自己是在其业务或受雇工作的过程中，或为报酬而行事，则持牌人就该保险业务不得进行或不得显示自己进行以下任何受规管活动： (a) 洽谈或安排任何新的保险合约； (b) 邀请或诱使任何人订立任何新的保险合约，或企图邀请或诱使任何人订立任何新的保险合约； (c) 邀请或诱使任何人就任何新的保险合约提出申请或作出建议而作出关键决定，或企图邀请或诱使任何人就任何新的保险合约提出申请或作出建议而作出关键决定； 及 (d) 就任何新的保险合约提出申请或作出建议而提供受规管意见。

1780243200000

1827504000000

(2) Condition (1) above shall not apply where, and only where, the relevant insurance business is sourced and referred directly and solely by persons acting in the capacity of the Licensee’s appointed technical representatives (broker) (“Appointed TR(B)s”).

(2) 如該保險業務僅由持牌人所委任的持牌業務代表 (經紀) （「委任業務代表（經紀）」）身份行事之人直接招攬及轉介，則上文第（1）項條件不適用。

(2) 如该保险业务仅由持牌人所委任的持牌业务代表 (经纪) （「委任业务代表（经纪）」）身份行事之人直接招揽及转介，则上文第（1）项条件不适用。

1780243200000

1827504000000

(3) The Licensee shall ensure, and shall procure that its Appointed TR(B)s ensure, due compliance with and observance of conditions (1) and (2) above.

(3) 持牌人須確保其自身及其委任業務代表（經紀）妥為履行及遵守上述第（1）及第（2）項條件。

(3) 持牌人须确保其自身及其委任业务代表（经纪）妥为履行及遵守上述第（1）及第（2）项条件。

1780243200000

1827504000000

(4) The Licensee shall furnish to the Insurance Authority (“Authority”) such information or records in respect of the regulated activities carried on by the Licensee at such times or intervals as may be specified, and, if the Authority so requires, such information or records shall be verified in such manner as may be specified, in accordance with any written notice served by the Authority on the Licensee from time to time.

(4) 持牌人須按保險業監管局（「保監局」）不時向持牌人發出之任何書面通知所指定的時間或間隔，向保監局提供與持牌人所進行的受規管活動有關的資料或紀錄；如保監局有所要求，該等資料或紀錄須按照該書面通知所指明的方式予以核實。

(4) 持牌人须按保险业监管局（「保监局」）不时向持牌人发出之任何书面通知所指定的时间或间隔，向保监局提供与持牌人所进行的受规管活动有关的资料或纪录；如保监局有所要求，该等资料或纪录须按照该书面通知所指明的方式予以核实。