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