概要

The course summarises the main provisions in the Guidance Notes on the Prevention and Detection of Money Laundering, Terrorist Financing and Proliferation Financing in the Cayman Islands. It also covers the procedures and controls in relevant operational areas to comply with the regulatory requirements.

宗旨

Hong Kong asset management industry has tendency to incorporate funds in Cayman Islands. After completion of the course, participants will be able to understand and comply with the regulatory requirements of the Cayman Islands Monetary Authority.

內容

1. What is money laundering, terrorist financing and proliferation financing?
2. Overview of the Cayman Islands AML legislative and regulatory framework
3. Effective management and internal controls
4. Risk based approach
5. Identification and verification requirements
6. Certification of documents
7. Enhanced due diligence and simplified due diligence
8. Politically exposed persons
9. Sanctions
10. Delegating / Outsourcing
11. Reviews and monitoring
12. Record keeping
13. Reporting of suspicious activities
14. Training
15. Warning signs for mutual funds

對象

Fund managers, asset managers and anyone who would like to have a better understanding of the AML/CFT practice in the Cayman Islands.

資產財富管理業先導計劃 - 專業培訓資助計劃

本課程已被審批為「提升資產財富管理業人才培訓先導計劃」（以下簡稱「資產財富管理業先導計劃」 其下之「專業培訓資助計劃」（以下簡稱「本計劃」）。本計劃旨在提升資產財富管理業在職從業員的專業能力水準及協助金融服務業內其他從業員學習所需的知識和技能，使他們能投身資產財富管理業。合資格之申請人按香港證券及投資學會之要求完成課程後將可獲香港特區政府資助80%學費，上限為HK$15,000。 香港證券及投資學會為資產財富管理業先導計劃之執行機構，有關申請要求之細則及手續，請參閱專為資產財富管理業先導計劃而設之網站(https://www.wamtalent.org.hk/)。