概要

The course summarises the main provisions of the Guidance Notes on the Prevention and Detection of Money Laundering and Terrorist Financing in the Cayman Islands 2017 and Guidance Notes Amendments 2018. 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 and terrorist financing?
2. Overview of the AMLR and related Guidance Notes in Cayman Islands
3. Effective management and internal controls
4. Risk assessment of customers
5. Identification and verification requirement (Cayman Islands)
6. Certification of documents
7. Simplified due diligence and enhanced due diligence
8. High risk customers
9. Sanctions
10. Reliance on third parties
11. Customer reviews and monitoring
12. Record keeping
13. Reporting of suspicious activities (Cayman Islands)
14. Training
15. Warning signs to mutual funds (Cayman Islands)

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/)。