Regulatory framework of Money Laundering

Regulatory framework of Money Laundering

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
TPRCR20008601
日期及時間
2020年2月24日, 星期一 (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
廣東話
級別
Introductory
課程時數
SFC:2.50, PWMA:2.50
費用
所有會員: HK$550
機構會員員工: HK$550
非會員: HK$1100