防洗錢、最新監管要求及行為規範

防洗錢、最新監管要求及行為規範

Overview

This course aims to
- refresh / remind the target participants the key regulatory requirements that they should be aware of
- update them with the latest / new regulatory development which may have impact on their day to day operations.

Content

For each topic the key content will be:

1. Recap of the key requirements that are relevant to the target learns
2. Share of real life exaples, cases or regulator's report to illustrate the best parctices and/or lesson learned
3. Updates on the recent changes or revision 
 

Who should attend

This course is primarily targeted to those licenced individuals who involve in selling of investment products. The participants should have the basic knowledge of regulatory framework in securities and futures industry.

本課程適合銀行、證券行、基金公司之前線銷售人員,參與者應對證券期貨業監管架構有基本認識。

Speaker/Course Instructor

YUEN Mou Chung Monty
Mr. Monty Yuen, holder of B. Comm. and LLM, has over ten years of experience in different capacities in the financial industry and is currently a senior compliance manager of a financial institution. Prior to that, he was a manager of Enforcement Division of Securities & Futures Commission. Prior to joining the financial industry and the SFC, Mr. Yuen was a senior inspector with the Royal Hong Kong Police Force. Mr. Yuen also successfully obtained the CFP, PFP, CIM, FCSI and CAMS designations

Details

Code
TPRCR17002701
Date & Time
Tuesday, 19 Dec 2017 (6:30PM - 9:30PM)
Venue
HKSI Institute Training Centre
Language
Cantonese
Hours
SFC:3.0, PWMA:3.0, IA/OCI:3.0
Fees
All Member: HK$750
Staff of Corporate Member: HK$750
Non-Member: HK$1500