deemed licensee application (individual upload) - insurance

User Guide of the Insurance Intermediaries

Connect for Principals

– Deemed Licensee Application

(Individual Upload)

Applicable to Authorized Insurers, Licensed Insurance Agencies

and Licensed Insurance Broker Companies

Last update: January 2021

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Table of Contents

1. Account Setting in Supervisor Account .................................................................................................. 3

1.1. Set Access Rights of Administration Account for deemed licensee functions ............................... 3

1.2. Set Password for Input Template and Upload Summary ................................................................ 4

2. Create Account & Application by Bulk Upload Function .................................................................... 4

2.1. Download Input Template for Bulk Upload .................................................................................... 4

2.2. Fill in the Input Template: ................................................................................................................ 6

2.3. Upload the Input Template .............................................................................................................. 7

2.4. Check result of the uploaded Input Template ................................................................................. 9

2.5. Rectify and upload the application again for the unsuccessful account & application creation 11

3. Activation and Submission by Licensee............................................................................................. 12

3.1. Activate Individual Account ........................................................................................................... 12

3.2. Fill in Deemed Licensee Application in Individual Account .......................................................... 15

3.3. Submit Deemed Licensee Application to Principal ....................................................................... 19

4. Verification and Confirmation by Principal ....................................................................................... 22

4.1. Verify Deemed Licensee Application by Principal ......................................................................... 22

4.2. Confirm Appointment by Principal ................................................................................................ 25

5. Status Reports .................................................................................................................................... 29

5.1. Download Status Report ................................................................................................................ 30

5.2. Check the Deemed Licensee’s E-portal Account and Application Status ..................................... 32

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Important: Users shall have basic understanding of the account management and new license

application functionality for principals and application in Insurance Intermediaries Connect (“IIC”). For

details, please refer to below User guides.

Online_Portal_Userguide_individual

Online_Portal_Userguide_principal

https://www.ia.org.hk/en/infocenter/forms/intermediaries.html

1. Account Setting in Supervisor Account 1.1. Set Access Rights of Administration Account for deemed licensee functions Go to Detail of selected administration account under Administration Account Management.

Tick the access rights of Deemed Licensees’ Bulk Upload and/or Verify Deem Licensee

Application, Confirm Appointment (Licence Application) and click Save at top right corner of the

page

https://www.ia.org.hk/en/infocenter/forms/intermediaries.html

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1.2. Set Password for Input Template and Upload Summary Go to “Designated Mobile Number, Designated Email Address and Password for Document

Download” and set the password in Password for document download. Both supervisory account

user and administration account user(s) have to use this password to unzip the password-

protected Input Template and Upload Summary. For details, please refer to section 2.5 of the

User Guide of the Insurance Intermediaries Connect for Principals.

2. Create Account & Application by Bulk Upload Function 2.1. Download Input Template for Bulk Upload Log in IIC with the Supervisor account or Administration account with relevant access right. For

details of access right setting, please refer to section 1.1

Select “Deemed Licensees’ Bulk Upload” in the left vertical menu.

Click “the Deemed Licensees’ Input Template” to download the bulk upload Input Template with

preloaded data from the Former Self-Regulatory Organizations (“SROs”).

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The bulk upload Input Template is password-protected and the password is maintained by the

Supervisor. It can be set/updated in the “Designated Mobile Number, Designated Email Address

and Password for Document Download”. The document will not be available for download if

password is not set. Administrator Account users shall request the password from the Supervisor

Account user. For details, please refer to section 1.2.

Sample of the downloaded Input Template (extract) is shown below.

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2.2. Fill in the Input Template: <<For Individual Upload Approach Only>>

All deemed licensees of the principal are displayed in the downloaded Input Template and each

row represents 1 deemed licensee. The Input Template will be updated on a weekly basis. Keep

only the row(s) of licensees relevant to your current upload and delete all irrelevant data rows.

The maximum number of data rows that can be processed in EACH Input Template uploaded to

the system is 1,000 (i.e. user should only fill in a maximum 1,000 data rows in 1 upload attempt)

Specify “Individual” in Column B; Specify “Create” in Column C

Columns D to Column U are set as read only. No input or update of information is required. Even

if the information is changed, the system will not be updated.

Fill in column V and column W which are mandatory for account creation. A valid Email

Address and HK Mobile Phone No. must be provided in order to receive the email notifications

and One Time Password (“OTP”).

Optional to fill in fields in columns X to BA. Blank required information is then required to be

provided by deemed licensees in the e-portal.

Fill in fields in columns X to BA according to the instructions in Row 4 and Row 5.

Change in excel file structure (e.g. add new column, remove excel tab) is not allowed.

Otherwise, the upload will fail.

Keep the tab <Guidelines> in the Input Template excel file for uploading.

Keep only the data row(s) relevant to

your current submission

Mandatory

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2.3. Upload the Input Template Save the Input Template completed in Step 2.2 to your computer. No designated file name format

is required.

Click “UPLOAD”

Select the Input Template. Click “Open” to upload it.

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Select the “Case Handler” from the Pull-down list. All applications in that upload will be assigned

to the designated case handler. User should upload another batch of applications separately if

the cases will be assigned to another case handler.

Click “Confirm”.

Click “OK” in the pop-up message.

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2.4. Check result of the uploaded Input Template “Summary” below “Important Note” indicate the result.

o If the upload is successful, the Summary at the bottom of the page will show the number

of “Account(s) and application(s) successfully created” in bracket.

o For unsuccessful upload, the Summary at the bottom of the page will show the number

of “Account and/or application creation or update failed. Please refer to the attached

upload result” in bracket.

Click “Click here to download result” to download the Input Template result.

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Save the result excel file to your computer for your record keeping and for further update of

application information (i.e. the Upload Result can be used as Input Template for next bulk upload

purpose)

o Successful entry row: Its Column A cell will be highlighted in green (Example: row 6).

o Unsuccessful entry row: Its Column A cell will be highlighted in red (Example: row 7).

Please refer to step 2.5 - Rectify and upload the application again for the unsuccessful

account & application creation.

o Unprocessed entry row (i.e. entry row not uploaded for validation checking and account

creation): Its Column A cell has no color indicator (Example: row 8). Please check whether

you have filled in Column B and Column C properly; and repeat step 2.2-2.4 for these

unhandled data rows. Also a maximum of 1,000 entries are allowed for each bulk upload

and the remaining entries (i.e. 1001th entry and onwards) will not be processed.

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2.5. Rectify and upload the application again for the unsuccessful account &

application creation In the saved downloaded Input Template from Step 2.4, Column A will show the error code(s) in

following definition.

E0 Form field validation not passed

E1 Applicant is not a deemed licensee

E2 Duplication: Account and application have been created previously

E3

Unable to update account and application because they do not exist in system. Please create account and application first.

Unable to update account and application because the application status is not “Filling” or “Commented by Principal”

E4 Unexpected Error. Please contact system admin

Example: “E0” for application in row 6

For rows that have been uploaded successfully, it is not required to upload the relevant entries

again. Remove the rows of successful upload (i.e. rows with column A cells highlighted in green).

Keep the failed entry in the excel file only for next upload.

Modify the application data according to the error code. Amend directly in the highlighted cells

as indicated with color indicators. Review again whether all other entries are in correct format.

Save the modified Input Template to your computer.

Repeat Steps 2.3-2.4 of this User Guide to upload the saved excel file to IIC again.

The cell would be highlighted if below situations occur: example:

- input values are not in required format (eg. TRUE/FALSE, Qualification Code, Mobile No) T

A123456

- mandatory field has not been filled

- length of input value exceeds the required limitation 123456789

- duplicated values found in unique column field

(eg. HKID, Licence No., Email address, Passport No.)

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3. Activation and Submission by Licensee 3.1. Activate Individual Account Log in Individual Licensee’s email account. Click to open the email titled “Insurance

Intermediaries Connect – Individual Account Activation 保險中介一站通 – 啟動個人帳戶”.

Click “here” in the email to activate the Individual account.

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Input the Individual’s Mobile No. and HKID as instructed. (NOTE: the information should be the

same as the data filled in the Input Template in Step 2.2.)

A SMS message containing the account activation OTP is sent to the Individual’s Mobile No.

Input the OTP received. Click “Submit”.

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Create username and password according to the instructions below. Click Submit.

Click “Back to Login Page”

Instructions

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3.2. Fill in Deemed Licensee Application in Individual Account Log in Individual account with the username and password created in Step 4.1.

Select “Deemed Licensee Application” in the left vertical menu.

Under the Individual Upload approach, individual account owner has to review ALL filled

information and modify (except grey areas) if necessary to ensure the accuracy.

Individual account owner also has to fill in all other blank required fields in part 1-3 and

upload documents in part 5 to complete the application in Individual account.

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Part 1: I-III. Particulars of Applicant, Directorship and Relationship with Licensed Insurance

Agency/Broker Company & Licence(s) Granted by Financial Regulator(s)

Scroll down and click “Save & Next” to proceed to next part.

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Part 2: IV. Education/ Professional Qualifications

Part 3: V. Character, Financial Status, Disciplinary Action & Investigation

Tick the appropriate box regarding the submission of relevant details if applicant answers “Yes”

in any of the 14 questions.

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Part 4: VI. Appointing Principal(s) (i.e. Authorized Insurer, Licensed Insurance Agency or Licensed

Broker Company as applicable)

Individual account owner reviews the appointing principal and line(s) of business.

Part 5: Supporting documents

Click “UPLOAD” of HKID Card

Select the file to be uploaded as HKID Card (only support JPG, JPEG, PNG, PDF file, maximum

allowed file size is 5MB). Click “Open” to upload it.

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o Individual applicant is required to upload documents in “Mainland Education Certificate

and Proof of Authentication of the certificate” if meet the requirement in Part IV

Education/ Professional Qualifications

o Individual applicant is required to upload documents in “Other Document(s)” if any of the

14 questions under V. Character, Financial Status, Disciplinary Action & Investigation is

answered “Yes”.

Click “Save & Next” in Part 5 to proceed to Part 6 to submit the application.

3.3. Submit Deemed Licensee Application to Principal In Part 6, read the declaration. Scroll down and tick the box if you understand and agree to the

declaration. Click “Submit to Principal”.

A SMS message containing an OTP is sent to the Individual’s Mobile No.


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Click “YES” in the pop-up message.


An email titled “Insurance Intermediaries Connect – Licence Application Submitted to Principal(s)

for Confirmation of Appointment (Ref.: XXXXXXXXXX) 保險中介一站通 – 牌照申請已經提交給

主事人以作委任確認 (Ref.: XXXXXXXXXX)“ will be sent to the Individual’s email account.

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4. Verification and Confirmation by Principal 4.1. Verify Deemed Licensee Application by Principal Log in Supervisor account (or other admin account designated as “case handler”). For details of

access right setting, please refer to section 1.1

Select “Verify Deemed Licensee Application” in the left vertical menu.

Under the Individual Upload approach, application is with GREEN “Pending Verification” status.

Principal is required to verify the applications ONE by ONE.

Click the gearwheel icon to open the application and view details.

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Principal should verify EVERY part of the application and ensure all the information provided in

the application and any documents in connection with the application are COMPLETE, TRUE and

CORRECT.

Scroll down in every part of the application and tick “Verify with no comments?” or input

comment in the comment box. Then click “Next Section” to save and proceed to next part.

Principal shall pay attention to those parts with “Red Flag” indicated by red circles meaning the

individual applicant:

is with directorship & relationship with licensed insurance agency/ broker

company and/or licence in other financial regulators (Red ball 1)

is required to submit mainland education certificate and proof of authentication

of the certificate (Red ball 2 and 5)

indicated “Yes” in any of the 14 FPP questions (and is required to submit relevant

documents) (Red ball 3 and/or 5)

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After verifying Part 1-5, proceed to part 6 to complete the verification.

Click “Finish”.



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4.2. Confirm Appointment by Principal Log in Supervisor account or Admin account with Confirm Appointment (Licence Application)

access right. For details of access right setting, please refer to section 1.1

Click “Confirm Appointment (Licence Application)” in the left vertical menu.

Tick the application and click “Add to Cart +”.

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Click “Confirm”. The number of applications added to cart is indicated next to “Confirm”.

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Click “Confirm”.

Fill in the Principal information. Click “Confirm” below the fields.

Input Mobile No (Mobile No. should be a designated number set by the Supervisor). Click “Next”.

A SMS message containing an OTP will be sent to the Designated Mobile No. For details of

Designated Mobile No., please refer to section 2.5 of the User Guide of the Insurance

Intermediaries Connect for Principals.

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5. Status Reports

There are two status reports to facilitate appointing principals to manage and monitor the progress and

status of the deemed licensee transition:

(3) Deemed Licensee Application E-portal Status Report :

This report shows the application status of appointed deemed individual licensees (i.e. Individual

Insurance Agents, TR(A) & TR(B)) of which the appointing principals have created the e-Portal

accounts for. The report is in cumulative basis.

(4) Outstanding Deemed Licensees Report:

This report is an outstanding list of appointed deemed individual licensees who have not been

granted the formal licence by the IA, regardless of submission channel or whether the

applications have been submitted or not. The report is in diminishing basis.

Status reports are updated on a weekly basis.

All status reports are password-protected. The password is maintained by the Supervisor and can

be set/updated in the “Designated Mobile Number, Designated Email Address and Password for

Document Download” function (same password for opening Deemed Licensee Input Template).

The document will not be available for download if password is not set. Administrator Account

users shall request the password from the Supervisor Account user. The screen capture below

shows the relevant part for the password setting. For details, please refer to section 1.2.

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5.1. Download Status Report

1. Select “Report” in the left vertical menu.

2. i). Click the dropdown list and select the report to be downloaded (e.g. (3) Deemed Licensee

Application E-portal Status Report).

ii). Click “Download” to download the report and then click “Save” to save the zip file.

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3. i). Open the zip file and double click the report to open.

ii). Enter the “Password for Document Download” which can be found in e-portal Supervior

Account.

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iii). The report (extracted) is as below:

5.2. Check the Deemed Licensee’s E-portal Account and Application Status

6.2.1 Deemed licensee’s e-portal account status

The status report - (3) Deemed Licensee Application E-Portal Status Report (“Status Report (3)”)

contains the details of the deemed licensee’s e-portal account including the status which is

shown as follows:

Status Report (3)

The e-portal account status indicated in Column I “E-Portal Account Activated”:

Y= deemed licensee’s e-portal account is activated;

N= deemed licensee’s e-portal account has not yet been activated

6.2.2 Deemed Licensee’s e-portal application status

Status Report (3) contains the details of the deemed licensee’s e-portal application including the

status which is shown as below:

Status Report (3)

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Definition of the Application Status:

Filling

i) The e-portal account is not activated; or

ii) The e-portal account is activated but the application has not yet been submitted to appointing

principal by the deemed licensee.

Pending verification by Principal(s)

i) The application is submitted to appointing principal by the deemed licensee and pending

verification by appointing principal; or

ii) The application is re-submitted (after commented by Principal(s)) to appointing principal by the

deemed licensee and pending verification by appointing principal.

Commented by Principal(s)

The application is commented by appointing principal and returned to the deemed licensee for

necessary amendment.

Pending confirmation by Principal(s)

The application is verified by appointing principal and pending confirmation by appointing principal.

Pending withdrawal

The application is rejected by appointing principal and pending deemed licensee’s following-up

action.

Submitted to IA

The application is confirmed by appointing principal and submitted to the IA.

Approved by IA

The application is approved by IA.

Rejected by IA

The application is rejected by IA.

Withdrawn

The application is withdrawn by deemed licensee or appointing principal.

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deemed licensee application (individual upload) - insurance

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