| Financial Healthcheck |
1 |
Provide financial summary (audited reports) of results for last 2* years (profits, company liquidity ratio, balance sheets).
*If inherent risk classified as 'high', require 3 years financial results.
Obtain a copy of the external audit report on Third Party’s latest audited accounts.
提供過去 2* 年業績（利潤、公司流動資金比率、資產負債表）的財務摘要（審計報告）。
*如果固有風險被歸類為“高”，則需要 3 年的財務業績。
獲取第三方最新審計賬目的外部審計報告副本。 |
|
| Company Background |
2 |
Names of Shareholder / directors of the company
公司股東/董事姓名 |
Please visit our webite : https://www.policydonation.org.hk/about-us.html |
| 3 |
Litigation Search on subject company
對標的公司訴訟檢索 |
No litigation or claim |
| 4 |
Bankcruptcy proceedings search on subject company
對標的公司進行破產程序檢索 |
No proceeding |
| 5 |
Does the Third Party have other insurers as their clients?
第三方是否有其他保險公司作為其客戶？ |
LifeCare Movement is a main thematic charitable fund-raising program operated under LUA Foundation, it is subjected to recieve approved charitable donation from other insurers. Committee members are on volunteer basis. |
| 6 |
Provide an organisation chart as well as a detailed description of the legal structure of the Third Party providing the delegated activity. Include any relevant related operating entities or affiliates, including incorporation details and jurisdiction.
提供組織結構圖以及提供委託活動的第三方的法律結構的詳細說明。包括任何相關的相關運營實體或附屬公司，包括公司詳細信息和管轄權。 |
The Organizational Chart of LifeCare Movement Committee (2020-2021) |
| 7 |
Please describe in detail any significant recent or pending events affecting the Entity’s operations (e.g., legal action as plaintiff or defendant, mergers, acquisitions, joint ventures, third-party investments, executive management changes, introduction or termination of a business line, other products or services)?
請詳細描述影響實體運營的任何近期或未決重大事件（例如，作為原告或被告的法律訴訟、合併、收購、合資、第三方投資、執行管理層變動、業務線的引入或終止、其他產品或服務）？ |
All activities organized by LifeCare Movement are aimed at the PUBLIC EDUCATION to promote the donation of life insurance policy.
The List of previous event (2005 - 2021) |
| 8 |
Describe any new services or business undertaken in the last 12 months by the Third Party and any impact on existing service delivery, especially on current clients. Please note that client references may be requested to confirm this.
描述第三方在過去 12 個月內開展的任何新服務或業務，以及對現有服務交付的任何影響，尤其是對現有客戶的影響。請注意，可能會要求客戶參考以確認這一點。 |
We ask insurance client(s) to sign a Policy Donation Form as a gesture of goodwill for his/her donation, in which it doesn't cause any impact to the exisiting service delievery. |
| 9 |
In last 12 months, has the Third Party lost significant accounts or assets? Have there been patterns detected of why clients left (ex. poor performance, poor customer service, etc?
在過去 12 個月內，第三方是否丟失了重要賬戶或資產？是否檢測到客戶離開的模式（例如表現不佳、客戶服務不佳等）？ |
The Annual Statistic of Policy Donation |
| 10 |
What is the Third Party’s credit rating? (eg. Fitch, Moody’s, Standards & Poor’s) Have there been any adverse changes to the credit rating?
*Applicable to financial service engagement
什麼是第三方的信用等級？ （例如惠譽、穆迪、標準普爾）信用評級是否有任何不利變化？
*適用於金融服務業務 |
Not Applicable |
| Management and Staff |
11 |
Provide level of staff turnover and describe any policies within the Third Party to ensure stability of key personnel.
提供員工流動水平並描述第三方內部的任何政策，以確保關鍵人員的穩定性。 |
Chairman & vice chairman are collectively responsible for the leadership of LifeCare Movement committee. All chairman meet at least once every month to ensure the running of the policy donation program in accordance with the sponsorship plan and within the budgets approved by the LUAF Management Board. |
| 12 |
Describe the staff vetting or on-boarding procedures within your hiring practices. Confirm if you perform any back-ground due diligence or staff vetting checks before hiring a staff member.
描述招聘實踐中的員工審查或入職程序。在僱用員工之前，確認您是否進行了任何背景盡職調查或員工審查。 |
Every recruited committee must be recommended and nominated by his/her supervisor in senior management grade, regional director or above. |
| Information Risk & Privacy & Operational Risk |
13 |
What are the local applicable personal data legislation relevant to this Third Party Arrangement? (eg. Personal Data Protection, Labour Outsourcing, Cross Border Data Processing, Outsourcing etc). Please specify.
與本第三方安排相關的當地適用個人數據立法有哪些？ （例如，個人數據保護、勞務外包、跨境數據處理、外包等）。請明確說明。 |
The collection of policy donation information is subjected to Personal Data Protection, we have taken all practicable step to ensure that personal data submitted are protected. Website is secured by SSL encryption. |
| 14a |
Confirm whether there have been any historical or current Privacy breaches, warnings, enforcement actions, sanctions for the Third Party during the last 5 year period (or whether any are pending). If yes, provide details of any such occurrences.
確認在過去 5 年期間是否有任何歷史或當前的隱私違規、警告、執法行動、對第三方的製裁（或是否有任何未決）。如果是，請提供任何此類事件的詳細信息。 |
No |
| 14b |
Confirm whether there have been any historical or current Operational Risk related incidents for the Third Party (including those reported in the ORM Incident Log) during the last 5 year period (or whether any are pending). If yes, provide details of any such occurrences.
確認第三方在過去 5 年期間是否發生過任何歷史或當前的操作風險相關事件（包括 ORM 事件日誌中報告的事件）（或是否有任何未決事件）。如果是，請提供任何此類事件的詳細信息。 |
No |
| 15 |
Confirm whether the Third Party has been subject to any Privacy inquiries or examinations during the period (or whether any are pending) and any significant findings which may impact the Services which have not been disclosed in the normal course of reporting. If yes, provide details of any such inquiries.
確認第三方在此期間是否受到任何隱私查詢或檢查（或是否有待處理），以及任何可能影響服務的重大發現，但在正常報告過程中未披露。如果是，請提供任何此類查詢的詳細信息。 |
No |
| Regulatory Compliance |
16 |
If the service provided by the Third Party is a regulated activity, or where applicable, provide a copy of evidence of regulatory approvals/licenses (e.g. CSR organisations or other equivalent registration documents for regulated activities). (Please skip Q.17-25 if the arrangement is not a regulated activity)
如果第三方提供的服務是受規管活動，或在適用的情況下，提供監管批准/許可的證據副本（例如，企業社會責任組織或受規管活動的其他等效註冊文件）。 (如果該安排不是受規管活動，請跳過Q.17-25) |
Not a regulated activity |
| 17 |
Confirm whether there have been any historical or pending governmental investigation/examination/ inquiry, regulatory breaches, warnings, enforcement actions, sanctions during the last 5 year period. If yes, provide details of any such event.
確認在過去 5 年期間是否有任何歷史或未決的政府調查/檢查/詢問、監管違規、警告、執法行動、制裁。如果是，請提供任何此類事件的詳細信息。 |
- |
| 18 |
Describe the governance processes or frameworks in place to demonstrate that the Third Party is capable of adhering to our requirements as an Insurer regarding regulatory requirements, policies and standards? Attach supporting documentation if available that will support this requirement. (eg. Third Party’s policies or processes).
描述現有的治理流程或框架，以證明第三方有能力遵守我們作為保險公司的監管要求、政策和標準要求？如果可用，請附上支持此要求的支持文件。 （例如第三方的政策或流程） |
- |
| 19 |
Describe the efforts made to ensure the Third Party’s business stays current with regulatory changes. Please confirm that adequate procedures are in place to ensure that any legislative changes are implemented on a timely basis. |
- |
| 20 |
Describe the Compliance structure within the Third Party and provide details of who is responsible for compliance, their reporting lines, qualifications and experience. Please include an organisational chart. |
- |
| 21 |
Provide a summary of the Third Party’s compliance program or compliance policies and procedures. |
- |
| 22 |
Confirm that the local Compliance department is adequately staffed to ensure appropriate oversight of the delegated activity. |
- |
| 23 |
Please list out key internal controls and compliance monitoring perform on delegated services.
Confirm that internal controls are adequate and continue to operate effectively in respect of the Third Party’s capacity to deliver the delegated activity. Provide a copy of the latest available independent verification /certifications (e.g. ISO 9001, Audit letters, SOC1, ISAE 3402, SAS70, etc.), if available. |
- |
| 24 |
Describe how staff is kept proactively informed of regulatory developments and compliance requirements. |
- |
| 25 |
Provide details of the procedures in place for reporting breach of contract or service standards and escalation processes. |
- |
| UN Universal Declaration of Human Rights |
26 |
Was an assessment done of the risks of the outsource or third party supply provider breaching the UN Universal Declaration of Human Rights? If so, was appropriate action taken based upon that risk assessment?
是否對外包或第三方供應商違反聯合國世界人權宣言的風險進行了評估？如果是，是否根據風險評估採取了適當的行動？ |
No |
