GBA/China Series

[面授研討會] 跨境客戶風險管理:從開戶審查到持續監控的實務策略

Overview

隨著跨境業務往來日益頻繁,客戶結構及監管環境愈趨複雜,證券機構需要在業務增長與風險管理之間取得適當平衡。從客戶開戶、盡職審查到持續監控,各個環節均直接影響風險評估的準確性及合規管理成效。本次研討會將探討跨境客戶風險管理的最新挑戰,以及如何建立更具防禦性的客戶審查及監控框架,支援更穩健的風險管理決策。

Content

• 內地企業及跨境客戶開戶審查中的常見風險盲點
• 如何建立更具防禦性的客戶開戶及覆核流程
• 持續監控在跨境客戶風險管理中的角色與實務應用
• 跨境客戶風險管理案例分析及最佳實踐經驗分享


請注意:
本次研討會將於金鐘舉行,請查閱場地資訊以了解詳情。
特別鳴謝 鄧白氏 (香港) 贊助活動場地。

Who should attend

本次研討會專為證券及金融服務業的高級管理人員、業務、合規及風險管理主管,以及負責客戶風險管治、合規管理及跨境業務發展的專業人士而設。

Speaker/Course Instructor

Jerry HUNG
Jerry Hung is the Head of Financial Institutions at Dun & Bradstreet Hong Kong, with extensive experience in business data analytics, corporate due diligence, and risk management. He specialises in helping financial institutions leverage data and business intelligence to enhance decision-making and governance effectiveness.

Over the years, Jerry has worked closely with banks, securities firms, and financial services organisations. He has also participated in a range of risk management and compliance initiatives, helping financial institutions to strengthen credit assessment, monitoring frameworks, and compliance management capabilities.

Drawing on his extensive experience serving the financial sector, Jerry is frequently invited to speak at industry forums and professional events on topics including corporate due diligence, compliance management, and emerging regulatory developments. He regularly exchanges insights with industry practitioners on enhancing risk identification capabilities, strengthening customer due diligence processes, and improving the management of cross-boundary customer relationships.

Details

Code
TSBGB26001301
Date & Time
Wednesday, 19 Aug 2026 (4:30PM - 5:30PM)
Venue
Dun & Bradstreet (HK) Ltd., 23/F, Six Pacific Place, 50 Queen's Road East, Hong Kong
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
More
Tags
New
Language
Trad. Chi / Cantonese
Hours
SFC:1.00, PWMA:1.00
Fees
All Member: HK$290
Staff of Corporate Member: HK$290
Non-Member: HK$580
HKSI Institute Staff: HK$0
Honorary Fellow Member: HK$0