AML/CTF Matters: An Update for Licensed Corporations (Full)

With regulator’s reiteration of compliance requirements through its circular published earlier, Anti-Money Laundering and Counter-Financing of Terrorism (AML/CFT) top the agenda of licensed corporations (LCs) and associated entities. 

How LCs are affected? What should LCs do to avoid falling short of the required standard? Seasoned professionals from EY will provide their views and share leading practice and market insight on the challenges facing the industry, and practical approaches of handling AML/CFT matters.

Key content of the seminar:
  • Update of the SFC’s AML/CFT guidelines
  • Supervisory observations on implementing AML/CFT internal controls
  • Enhanced measures on client identifications
  • Institutional Risk Assessment (IRA)
  • Customer Due Diligence (CDD) and Ongoing Monitoring
  • Suspicious Transaction Monitoring, Evaluation and Reporting

Speakers: Mr Wong Hong Hui
Speakers: Executive Director, Financial Services Advisory 
Speakers: Ernst & Young Advisory Services Limited

Speakers: Mr Vincent Tang 
Speakers: Director, Financial Services Advisory
Speakers: Ernst & Young Advisory Services Limited


Event Code : ESOTH17071101
Date : 11/07/2017 (Tuesday)
Time : 12:00pm - 12:20pm   Registration & Light Sandwich Lunch
12:20pm - 1:20pm     Seminar / Q & A
Venue : Hong Kong Securities and Investment Institute
Room 510, 5/F, Wing On Centre, 111 Connaught Road Central, Hong Kong
Language : English
Hours : 1 CPT hour recognised by SFC
1 OPT hour recognised by PWMA
(Participants MUST attend the whole seminar including the question & answer session. Otherwise, NO/ZERO CPT/OPT hour will be given.)
Fees :

HK$210 for Members*
HK$380 for Non-members

*HKSI Institute Individual Members and staff of Corporate Members


Seats are limited, so register NOW ! 
For further enquiries, please call our Hotline on 3120 6100.


Speakers: Mr Charles Kinsley 
Speakers: Principal, Tax – Member of KPMG Global FATCA/CRS Working Group
Speakers: KPMG