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 3, 5 and 9 October 2018 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 key AML/CFT regulatory requirements;
- To share inspection findings and other supervisory observations on AML/CFT;
- To present money laundering typologies and feedback on the quality of suspicious transaction reporting; and
- To share industry experience in the implementation of a risk-based approach to customer due diligence and transaction monitoring.
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 18 September 2018 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 submitted to the SFC 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
Securities and Futures Commission
HK SFC Notice
HK SFC Circular
Seminar Program (Appendix 1)
Enrollment Form (Appendix) – Word, PDF