Compliance, Legislative & Regulatory Standards

[Webinar] Updated Requirement on AML and Code of Conduct

Overview

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

Objective

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

Content

AML/CFT
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

Suitability
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

Details

Code
TPRCR22009602
Date & Time
Monday, 30 May 2022 (6:30PM - 9:30PM)
Venue
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
Type 6 - Advising on corporate finance
Type 7 - Providing automated trading services
Type 8 - Securities margin financing
Type 9 - Asset management
Type 10 - Providing credit rating services
Type 11 - Dealing in OTC derivative products or advising on OTC derivative products
Type 12 - Providing client clearing services for OTC derivative transactions
Regulatory Compliance
Language
English
Hours
SFC:3.00, PWMA:3.00
Fees
All Member: HK$810
Staff of Corporate Member: HK$810
Non-Member: HK$1620
Student Member (UHKSI): HK$405