Compliance, Legislative & Regulatory Standards

Regulatory Framework of Money Laundering/Terrorist Financing

概要

Over the past several decades, money laundering has become an increasingly prevalent issue. Regulators, financial institutions, governments and law enforcing agencies are constantly looking for new ways to fight money launderers.

Learning “Anti-Money Laundering” becomes a must not only for every practitioner of the securities, banking, finance, trading industries, insurance, auditing or legal, but also for academia.

宗旨

This is an elementary-to-intermediate course which provides an overview of the Hong Kong and oversea anti-money laundering regulatory framework for securities and futures industry.

內容

1. Concepts of Money Laundering and Terrorist Financing
2. Overview of the AMLO, relevant rules and guidelines
3. Politically Exposed Persons, Know Your Client and Customer Due Diligence
4. Risk Based Approach
5. Indicators of suspicious activities commonly encountered
6. Suspicious Transaction Reporting and Joint Financial Intelligence Unit
7. Key elements of an effective AML Program
8. Case studies (Hong Kong, Regional and International)

對象

This course is mainly targeted to Individuals or professionals whose work is involved in the anti-money laundering matters and/or client onboarding process or those who are interested in this topic.

導師/講者

歐陽健男
Mr. Au Yeung is currently the Chief Operating Officer of a leading fintech company and has over 15 years of experience in compliance, anti-money laundering and risk management. Prior to that, Mr. Au Yeung led different regional and local middle-to-back office functions in some global financial institutions. He started his career in Morgan Stanley and then moved to a global audit firm before joining the SFC as a regulator.

Mr. Au Yeung graduated from the HKUST with first class honor and obtained law degrees from the CUHK and Tsinghua University.

詳情

活動編號
TPRCR19008602
日期及時間
2019年11月6日, 星期三 (6:30下午 - 9:00下午)
地點
香港證券及投資學會培訓中心
相關主題
第1類 - 證券交易
第2類 - 期貨合約交易
第3類 - 槓桿式外匯交易
第4類 - 就證券提供意見
第5類 - 就期貨合約提供意見
第6類 - 就機構融資提供意見
第7類 - 提供自動化交易服務
第8類 - 提供證券保證金融資
第9類 - 提供資產管理
第10類 - 提供信貸評級服務
第11類 - 場外衍生工具產品交易或就場外衍生工具產品提供意見
第12類 - 為場外衍生工具交易提供客户結算服務
監管合規
語言
Trad. Chi / 廣東話
課程時數
SFC:2.50, PWMA:2.50