September 26, 2016: HK SFC AML/CTF Circular

On September 26, the Hong Kong Securities and Futures Commission (HK SFC) issued the following Circular:

Anti-Money Laundering and Counter-Terrorist Financing Seminars 

The SFC will host three half-day anti-money laundering and counter-terrorist financing (“AML/CFT”) seminars on 24, 25 and 31 October 2016 respectively. The seminars will be held at the Lecture Theatre, G/F, Hong Kong Central Library, Causeway Bay.

Objectives & Rundown

The objectives of the seminars are-

  • To provide an update on AML/CFT developments;
  • To discuss supervisory observations and industry experience on enhancing financial institutions’ AML/CFT controls; and
  • To share money laundering typologies and feedback on quality of suspicious transaction reporting.

Please refer to Appendix 1 for rundown and speakers of the seminars.

Who should attend

You are invited to nominate relevant management / supervisory personnel and compliance officers to attend. The seminar is free of charge and 3 CPT hours will be offered to those who attend the whole session.

Enrolment

Each firm should only submit one enrolment form. Please complete and return the attached enrolment form (Appendix 2) on or before 11 October 2016 by fax at 2293 4087 or email at aml_seminar@sfc.hk.

Enrolments are subject to a maximum of 2 places per firm. As seats are limited, we will attempt to allocate seats to all nominees listed as first priority in the enrolment forms received by the deadline. Any remaining seats will be allocated to the other nominees and if possible, according to their time of preference on a first come first served basis.

The SFC will send the confirmation slip by email and / or fax directly to successful applicants at least two days before the seminar. Please present your confirmation slip for admission at the venue.

If you have any queries, please contact Ms Kiki Wong at 2231 1569.

Intermediaries Supervision Department
Intermediaries Division
Securities and Futures Commission

Enclosure

SFO/IS/028/2016

Links:

HK SFC Notice

HK SFC Circular

Appendix 1 (rundown & speakers)

Appendix 2 (enrollment form) – PDFWord

Leave a Reply

Fill in your details below or click an icon to log in:

WordPress.com Logo

You are commenting using your WordPress.com account. Log Out / Change )

Twitter picture

You are commenting using your Twitter account. Log Out / Change )

Facebook photo

You are commenting using your Facebook account. Log Out / Change )

Google+ photo

You are commenting using your Google+ account. Log Out / Change )

Connecting to %s