HK SFC AML/CTF Circular: AML/CTF Seminars

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.

Enrolment

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 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

Links:

HK SFC Notice

HK SFC Circular

Program

Enrollment Form – WordPDF

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