Circular to Licensed Corporations and Associated Entities
Anti-Money Laundering / Counter-Terrorist Financing
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 27, 28 November and 7 December 2017 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 regulatory developments;
- To provide an update on the SFC’s supervisory focus on AML/CFT;
- To discuss supervisory observations on licensed corporations’ implementation of AML/CFT controls; and
- To share money laundering typologies and feedback on the 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.
Each firm should only submit one enrolment form. Please complete and return the attached enrolment form (Appendix 2) on or before 10 November 2017 by fax at 2293 4087 or email at firstname.lastname@example.org.
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
Securities and Futures Commission
HK SFC Notice
HK SFC Circular
Enrollment Form – Word, PDF