[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

TPRCR21009604

Date & Time

Monday, 22 Nov 2021 (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

More

Language

English

Hours

SFC:3.00, PWMA:3.00

Compliance, Legislative & Regulatory Standards