Compliance, Legislative & Regulatory Standards

[Webinar] Updated Requirement on AML and Code of Conduct


Participants will learn practical examples to avoid getting into trouble with regulators on AML and Code of Conduct issues


By the end of this course, participants will:

‧ Be able to understand the latest AML regulatory development
‧ Be able to understand the best practices and tools
‧ Learn about recent enforcement cases


1. SFC proposed amendments to AML/CFT guidelines
2. Tools to assist with KYC/CDD procedures (e.g. World-Check, OFAC)
3. Best practices relating to documentation, record keeping, periodic review
4. Mobile on-boarding
5. Examples of disciplinary issues

Code of Conduct
1. Updates impacting disclosure of benefits and independence
2. Employee dealing – definition and best practices
3. Examples of disciplinary issues

1. Overview of the suitability and client agreement requirements
2. Amendments to the Professional Investor Rules
3. Examples of litigation relating to proper risk disclosures

Who should attend

1. Licensed persons
2. Compliance Officers

Speaker/Course Instructor

Monty YUEN
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


Date & Time
Thursday, 27 May 2021 (6:30PM - 9:30PM)
Virtual Platform
Relevant Subject
Type 1 - Dealing in securities
Type 2 - Dealing in futures contracts
Type 3 - Leveraged foreign exchange trading
Type 4 - Advising on securities
Type 5 - Advising on futures contracts
SFC:3.00, PWMA:3.00