Table of Content :

This one-hour course will be presented by Rico Wong in Cantonese. It is divided into ten sections that could fulfill the SFC requirement under the categories of Regulated Activity (RA), Compliance (CM), and Regulatory Compliance (RC). The video content will be delivered in English.

  • 1. What is Money Laundering? ; The Economic and Social Consequences of Money Laundering ; Overview of the Anti-Money Laundering and Counter-Terrorist Financing (Financial Institutions) Ordinance

  • 2. Effective Management and Internal Controls

  • 3. Institutional Risk Assessment (IRA)

  • 4. Updates on Key AML/CFT Regulatory Requirements in 2018

  • 5. Amendments to Guideline on Anti-Money Laundering and Counter-Financing of Terrorism (came into effect on 1 November 2018)

  • 6. Suspicious Transaction Report (“STR”)

  • 7. Amendments to Guideline on Anti-Money Laundering and Counter-Financing of Terrorism 2022 (came into effect on 30 March 2022)

  • 8. Onboarding New Clients and Existing Clients

  • 9. SFC’s Inspection Findings and Other Supervisory Observations

  • 10. Emerging Risk Issues for the Securities Sector and SFC Disciplinary Actions

Course curriculum

    1. 002E Regulatory Requirement of AML - CFT (RC005) (1hr)

    2. 002E Regulatory Requirement of AML - CFT (RC005) --- Quiz

About this course

  • $360.00
  • 2 lessons
  • Video content: English
  • 1 Quiz
  • Printing of Certificate

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