Compliance, Legislative & Regulatory Standards

[Webinar] Regulatory Framework of Money Laundering/Terrorist Financing

Overview

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.

Objective

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.

Content Highlight

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)

Who Should Attend

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.

Instructor / Speaker

Simon AU YEUNG

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.

Administrative Details

Code
TPRCR22008601
Date & Time
Wednesday, 19 Jan 2022 (06:30 PM - 09:00 PM)
Venue
Virtual Platform
Relevant Subject
Type 1 - Dealing in securities,Type 2 - Dealing in futures contracts,Type 3 - Leveraged foreign exchange trading,Type 4 - Advising on securities,Type 5 - Advising on futures contracts,Type 6 - Advising on corporate finance,Type 7 - Providing automated trading services,Type 8 - Securities margin financing,Type 9 - Asset management,Type 10 - Providing credit rating services,Type 11 - Dealing in OTC derivative products or advising on OTC derivative products,Type 12 - Providing client clearing services for OTC derivative transactions,Regulatory Compliance
Language
Trad. Chi / Cantonese
Hours
SFC:2.50, PWMA:2.50
Fees