Code of Conduct for Licensed Insurance Brokers (English) ("ethics or regulations" related)



IA CPD 時數: 3 IA CPD 時數 (『道德或規例』範疇課程)

Course Outline:

Updated contents for Assessment Period 2022-2023

  • Ethics – build a high integrity culture
  • IA disciplinary decisions – case studies
  • Insurance Authority regulatory framework
  • 8 General Principles of the Code of Conduct with examples, case studies and best practice recommendations on rules on accurate representations, giving regulated advice, disclosure requirements and referral business
  • Q&A Session


Ms. Yvonne Lam, LLB (Hons)

Ms. Yvonne Lam is a practising solicitor admitted in Hong Kong and has joined CIB since 2014.  She previously oversaw the investigation and prosecution of CIB’s disciplinary process.  With the completion of its self-regulatory functions of CIB in 2019, Yvonne has focused on compliance and professional development.  She has contributed to the publication of the Compliance Manual and CIB Bulletins.  She also manages CIB Helpdesk to answer enquiries on compliance matters.  Yvonne has delivered numerous CPD seminars on the Code of Conduct, financial requirements and Insurance Authority’s guidelines.  Her specialty is on ethics.


請注意: 本課程將透過 Zoom平台以視像課程形式進行,學員需要使用有視像功能的電腦 / 智能電話,並建議於上課期間使用穩定的網絡系統連結。