Anti-money Laundering (AML) In-house Training Programme

With the Anti-Money Laundering and Counter-Terrorist Financing (Financial Institutions) (Amendment) 2018 passed by the Legislative Council in March 2018, financial professionals working in financial industry, professional firms, lawyers and trust or company service providers, among others, will be required to conduct customer due diligence and record keeping when they carry out particular kinds of transactions for their clients. Failure to comply with the new requirements could result in disciplinary action being taken. Therefore, it is important for the relevant parties to get ready for these impending changes. 


Training Programme Outlines

This 3-hour programme will cover the following topics:

- Roles of financial professionals, accountants, auditors, lawyers and other gatekeepers in preventing financial and "white collar" crime

- Global Financial Crimes and Common Fraud Schemes

  • Ponzi Fraud
  • Pyramid Scheme
  • Tax Evasion
  • Securities and Insurance Fraud
  • Financial Statements Fraud

- Stages and Methods of Money Laundering (ML)

  • Stages of Money Laundering Cycles
  • Banks and Financial Institutions
  • Insurance
  • Retail Corporates
  • Food, Hotels, Telecommunications
  • Real Estate Agents
  • Legal and Accounting Professions

- Detection and Prevention of Financial Crime / Fraud

  • Suspicious Employee Behaviour
  • Suspicious Customer Activities

- Financial Crime Investigation: How to Handle Investigation

  • Responding to Law Enforcement Agencies
  • Conducting Internal Investigations

- Court Case Studies


  • Functions and Benefits of Insurance
  • Principles of Insurance
  • Terms and Conditions in Insurance Contracts
  • Nature and Effect of an Insurance Warranties
  • Structure of Insurance Industry in Hong Kong
  • Regulatory Framework of Insurance Industry
    - Insurance Ordinance, Cap. 41
    - Insurance Core Principles (ICPs)
    - Insurance (Levy) Order and Insurance (Levy) Regulation
    - Financial Institutions (Resolution) Ordinance, Cap. 628


Mr Albert So

Practising Solicitor, University Lecturer, Executive Committee and Arbitration Committee Member of International Chamber of Commerce (Hong Kong), Accredited Mediator, Accredited Family Mediator, Asia Pacific Region Arbitration Group Arbitrator, Financial Dispute Resolution Centre Mediator, Certified Anti-Money Laundering Specialist, Certified Financial Crimes Specialist, Member of Association of Certified Fraud Examiners, Honorary Legal Advisor of Tung Wah Group of Hospitals (Long Love Integrated Family Service Centre)


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備注: HKQAA reserves the right to cancel the course, change the trainer, content, date, time and / or venue as necessary. Please read the terms and conditions at the bottom of this page before enrolment.

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最後更新:2020-07-09    免責聲明
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