eSeminar - CPT Bearing

Regulatory Developments in Anti-Money Laundering: Implications for Wealth Management Businesses

Overview

This eSeminar is a recorded session of the ‘Regulatory Developments in Anti-Money Laundering: Implications for Wealth Management Businesses’ webinar held on 15 June 2023.

This eSeminar covers the latest regulatory developments for AML in the wealth management industry. You will also learn about the applications of risk-based approach, opportunities of Regtech adoption, as well as extract valuable takeaways through feedback from enforcement cases related to the industry.

Objective

By the end of the eSeminar, you will be able to:
- State the latest regulatory developments and key priorities of the HKMA
- Identify best practices for applying a risk-based approach in wealth management
- Recognise the key opportunities in Regtech adoption
- Learn from feedback in enforcement cases

Content Highlight

1. Latest regulatory developments
2. Risk-based approach
3. Opportunities in Regtech adoption
4. Feedback from enforcement cases

Who Should Attend

Licensed individuals, senior executives and MICs of licensed corporations, professional services firms, as well as practitioners working in the private wealth management or banking sector.

Instructor / Speaker

Carmen CHU

Carmen Chu is the Executive Director (Enforcement and AML) of the Hong Kong Monetary Authority. She is responsible for overseeing the enforcement function including the Complaint Processing Centre of the HKMA as well as the supervision of the anti-money laundering and financial crime risk management by authorized institutions and stored value facility licensees. She also sits on the board of directors of the Financial Dispute Resolution Centre.

Carmen joined the HKMA in 1994 as a Manager Trainee, and has taken up different responsibilities in the HKMA, including research and monetary operations. She was seconded to the World Bank Office in Beijing from 1998 to 1999. Since then she has mainly been involved in international and regional financial cooperation initiatives as well as renminbi business development in Hong Kong.

She was appointed Executive Director (External) in April 2010 and Executive Director (Banking Conduct) in September 2014 before her current position in December 2017.

Administrative Details

Code
TEEEC23004901
Venue
ePlatform
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
...More
Language
English
Hours
SFC:1.00, PWMA:1.00
Fees
All Member: HKD210
Chinese Securities Association of Hong Kong (HKCSA): HKD295
Non-Member: HKD420
Staff of Corporate Member: HKD210
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