[Webinar] AML/CFT Governance and Lessons Learned from Recent Enforcement Actions

Overview

This Webinar will share the insights on how to implement an AML/CFT governance framework that enables effective board and senior management oversight of the Company’s AML/CFT programme.

The roles and responsibilities of the Manager-in-charge of AML/CFT as well as case studies from SFC thematic reviews and enforcement actions will be discussed.

Objective

This Webinar aims to raise the awareness of the importance of implementing an effective AML/CFT government framework by the Licensed Corporations.

Content

- Effective AML/CFT governance framework: governance forum; supervision & oversight; and roles & responsibilities
- Lessons learned from SFC thematic reviews and enforcement actions

Who should attend

- Senior management of Licensed Corporations
- Responsible Officers (RO)
- Manager-In-Charge (MIC) of AML/CFT
- Money Laundering Reporting Officer (MLRO)
- AML/CFT compliance staff

Speaker/Course Instructor

Mary WONG

Mary Wong is a Partner with KPMG and leads the Anti-Money Laundering and Sanctions services practice in the Greater Bay Area. Mary has more than 20 years of in-house and advisory experience in financial crime compliance in the Greater China region.

Prior to joining big four consultancy firms, Mary served for over 5 years, as a Vice President in the Hong Kong office of leading global financial institution specialising in regional Anti-Money Laundering Compliance and later private banking compliance. She had been one of the core team members on the global and regional support regarding Politically Exposed Persons, and she was seconded to Global AML team in Switzerland on a short term basis. Throughout her career, Mary undertook global and regional projects and developed excellent exposure to a wide variety of jurisdictions including Hong Kong, China, Macau, Taiwan and Singapore. Her specific experience including, but not exclusively, large-scale remediation, AML systems assessments, AML governance framework design, as well as compliance training.

Thomas TSANG

Thomas is a Manager in the KPMG Hong Kong Forensic practice specialising in Anti-Money Laundering (AML), and Sanctions. He is a Certified Anti-Money Laundering Specialist (CAMS) and has more than 7 years of professional experience working with financial institution and non-bank financial institution clients across Hong Kong and Mainland China. Thomas has experience in leading a wide-range of anti-financial crimes engagements, including fraud and misconduct investigations and independent reviews related to AML and Anti-Bribery and Corruption (ABC).

Curtis REN

Curtis is a Manager in KPMG Hong Kong’s Forensic practice specializing in Anti-Money Laundering (AML). He is a Certified Anti-Money Laundering Specialist (CAMS) and has more than six years of professional experience working on multiple AML engagements with financial services clients. In particular, Curtis has extensive hands-on experience in customer due diligence (CDD) and transaction monitoring remediation projects.

Details

Code

TSURE20000501

Date & Time

Wednesday, 8 Jul 2020 (12:20PM - 1:20PM)

Venue

Virtual Platform

Regulatory Update Series