Compliance, Legislative & Regulatory Standards

[Webinar] Fundamentals of Anti-Money Laundering and Counter-Terrorist Financing


This is the fundamental course related to the Anti-money laundering (AML) and Counter-Financing of Terrorism scheme in Hong Kong, aiming to helps financial institutions combat money laundering by stopping criminals from engaging in transaction to disguise the origins of funds connected to illegal activity.


  • AML/CFT Legal Framework in Hong Kong
  • Effective AML/CFT framework
  • Guideline on Anti-Money Laundering and Counter Financing of Terrorism under Securities and Futures Commission (SFC)
  • Risk base approach
  • Customer Risk Rating
  • Ongoing Monitoring
  • Sanction Governance and Obligations

Who should attend

Professionals, such as licensed individuals or compliance officers, who work in the financial industry in Hong Kong.

Speaker/Course Instructor

Hong XU
Ms Helen Xu has more than ten years’ experience in Anti-money laundry Compliance and in-depth knowledge of Financial Crime Compliance and Regulatory Compliance, she has extensive experience with the financial institutions including international banks, asset managers and local banks in Hong Kong.


Date & Time
Wednesday, 17 Jul 2024 (6:30PM - 8:30PM)
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
Simp. Chi / Putonghua
SFC:2.00, PWMA:2.00