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CPD/CPT/RME Elective
Course:

Anti-Money Laundering
Essentials for
Financial Institutions
and
Licensed Corporations

Presented by
Mr. Gavin Shiu,
Senior Assistant Director
of Public Prosecutions,
Hong Kong Department of Justice,
Commercial Crime Specialist

RME Elective: Anti-Money Laundering Essentials for Financial Institutions and Licensed Corporations
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Code: EVT000000065 Level: Advanced
Date: 29 April 2015 (Wednesday) Language: English
Time: 09:30 - 12:45
(Reception starts at 09:00)
Accreditation(s): LSHK RME Elective Course
LSHK 3.0 CPD Points

(LSHK Allocated Number: 20150319)
SFC 3.0 CPT Hours
Venue: Request for Rerun:
Please Contact Us for Details
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Presenter's Profile:
Mr. Gavin Shiu

  • Over twenty years of experience with particular focus on commercial crime and corruption.
  • Prosecutor having experience of serious transnational crime.
  • In depth work interaction with government departments and regulatory bodies Hong Kong Police; Independent Commission Against Corruption; Customs and Excise; Financial Services and Treasury Bureau; Securities and Futures Commission; Hong Kong Monetary Authority and the Office of the Insurance Commissioner.
  • Advising on the evidence needed and investigatory approaches for complicated and involved frauds and money laundering cases.
  • Gavin was the legal evaluator representing Hong Kong for the joint mutual evaluation of South Korea in 2009 conducted by the Financial Action Task Force (FATF) and the Asia Pacific Group (APG).
  • These evaluations were to assess the respective jurisdictions' compliance with the 40 plus 9 Recommendations of FATF in respect of AML and CFT and provide comprehensive reports on same by the evaluation team.
  • Recent head of the HKSAR's Justice Dept's asset recovery unit responsible for confiscations and restraints of criminal assets and so closely associated with anti-money laundering advice and policy.

Course Outline:

More than ever, financial institutions throughout the globe sit in the crosshairs of regulators seeking to enforce anti-money laundering (“AML”) and terrorist financing laws.  With the potential of investigations in one country leading to a chain reaction in other countries, possible fines of billions of US dollars and individual liability, understanding and mitigating the risk of money laundering is essential.

In this seminar, Gavin Shiu of Hong Kong Department of Justice/Commercial Crime Specialist will explain the key provisions and implications of AML and terrorist financing laws in Hong Kong, AML risks, warning signs and risk mitigation.

This course will cover the followings:

  • Overview of AML Laws and Terrorist Financing
  • Development of AML Laws in Hong Kong and the International Perspective
  • Key Provisions of Hong Kong Legislation
  • SFC/HKMA Guidelines on AML and CTF
  • Money Laundering Warning Signs
  • Customer Due Diligence
  • Internal Audit and Compliance Reviews
  • Key Findings of AML Thematic Review by HKMA
  • Case Studies
  • AML Enforcement Trends

This course is jointly provided in partnership with:  Kornerstone Limited
Relevant CPD Courses
Course: RME Elective: Anti-Money Laundering Essentials
for Financial Institutions and Licensed Corporations
*
RME Elective: Anti-Money Laundering Essentials for Financial Institutions and Licensed Corporations
Presenter(s): Mr. Gavin Shiu
Code:
EVT000000085
Date: 30 October 2015 (Friday)
Time: 14:30 - 17:45
Venue: Kornerstone Institute, 15/F, Hip Shing Hong Centre,
55 Des Voeux Road Central, Central, Hong Kong
Language: English
Accreditation(s): LSHK RME Elective Course
LSHK 3.0 CPD Points
SFC 3.0 CPT Hours
Course: RME Elective: Anti-Money Laundering Essentials
for Financial Institutions and Licensed Corporations
*
RME Elective: Anti-Money Laundering Essentials for Financial Institutions and Licensed Corporations
Presenter(s): Mr. Gavin Shiu
Code:
EVT000000143
Date: 2 September 2016 (Friday)
Time: 09:30 - 12:45
Venue: Kornerstone Institute, 15/F, Hip Shing Hong Centre,
55 Des Voeux Road Central, Central, Hong Kong
Language: English
Accreditation(s): LSHK RME Elective Course
LSHK 3.0 CPD Points
SFC 3.0 CPT Hours
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