Hong Kong SFC AML/CTF Circular: seminar on National Risk Assessment

Circular to Licensed Corporations and Associated Entities 

Anti-Money Laundering / Counter-Terrorist Financing

Seminars on Hong Kong’s Money Laundering and Terrorist Financing Risk Assessment Report  

The Securities and Futures Commission (“SFC”) will host three seminars on Hong Kong’s Money Laundering and Terrorist Financing Risk Assessment Report (“the Report”) on 12, 15 and 20 June 2018 respectively. The seminars will be held at the Lecture Hall, Hong Kong Science Museum, Tsim Sha Tsui East.

Objective

The objective of the seminars is to present and discuss the key findings of the Report as they relate to the securities sector and the measures that licensed corporations and associated entities should take to mitigate their money laundering and terrorist financing risks.

Who should attend

You are invited to nominate relevant management / supervisory personnel and compliance officers to attend. The seminar is free of charge and 1.5 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) on or before 25 May 2018 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 the date of their preference on a first come first served basis.

The SFC will send the confirmation slip by email 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

Registration Form – WordPDF

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