Updated Requirement on AML and Code of Conduct

Updated Requirement on AML and Code of Conduct

概要

Participants will learn practical examples to avoid getting into trouble with regulators on AML and Code of Conduct issues

宗旨

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

內容

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

對象

1. Licensed persons
2. Compliance Officers

導師/講者

袁茂松
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

詳情

活動編號
TPRCR19009601
日期及時間
2019年9月19日, 星期四 (6:30下午 - 9:00下午)
地點
香港證券及投資學會培訓中心
語言
英文
級別
Intermediate
課程時數
SFC:2.50, PWMA:2.50