Compliance, Legislative & Regulatory Standards

[網上研討會] 防洗錢、最新監管要求及行為規範


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.


1. Update on AML/CFT developments

2. Identified areas of concerns identified by regulators based on their recent inspection and reviews

3. Update on relevant regulatory requirement and/or guidelines
- guidance on suitability obligations
- triggering of suitability obligations
- compliance with suitability obligations

4 Recent enforcement cases related to selling practices and misconduct

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.

Speaker/Course Instructor

Monty YUEN
Mr. Monty Yuen, holder of B. Comm. and LLM, has over twenty years of experience in different capacities in the financial industry and is currently a senior compliance manager of a financial institution. He also obtained various industry recognised designations including CFP, PFP, CIM, FCSI and CAMS.

Prior to joining the financial industry, he was a manager of the Enforcement Division of the Securities & Futures Commission. Prior to that, Mr. Yuen was a senior inspector with the Royal Hong Kong Police Force.


Date & Time
Tuesday, 14 Mar 2023 (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
Trad. Chi / Cantonese
SFC:3.00, PWMA:3.00