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CPD/CPT Course:
Anti-Money Laundering
in Financial Institutions

Presented by
Ms Michelle C.Y. Dou,
Barrister-at-Law,
Certified Public Accountant (CPA),
Cheng Huan Q.C., S.C.'s Chambers,
Former Senior Associate,
PricewaterhouseCoopers
(Financial Services Stream),
Former Compliance Manager,
Former Internal Audit Vice President,
a Listed Financial Institution Regulated
by the Securities and Futures
Commission (SFC)

Anti-Money Laundering in Financial Institutions
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Code: EVT000000271 Level: Intermediate
Date: 29 October 2018 (Monday) Language: English
Time: 14:30 - 17:45
(Reception starts at 14:00)
Accreditation(s): LSHK 3.0 CPD Points
SFC 3.0 CPT Hours
Venue: Request for Rerun:
Please Contact Us for Details
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Presenter's Profile:
Ms Michelle C.Y. Dou

Ms. Dou is a practicing Barrister-at-Law and a Certified Public Accountant (CPA) at Cheng Huan Q.C., S.C.’s Chambers.

Ms. Dou has obtained her qualification of Certified Public Accountant (CPA) in PricewaterhouseCoopers (Financial Services Stream).  She has also obtained her qualification of Barrister-at-law after serving her pupillage at Cheng Huan Q.C., S.C.’s Chambers.

Ms. Dou has worked in the financial markets for years with experience in dealing with clients which are financial institutions.  She has also worked as the Compliance Manager and Internal Audit Vice President in financial institutions which are listed on the Hong Kong Stock Exchange and regulated by the Securities and Futures Commission (SFC).

Ms. Dou has experience in dealing with:

  • inquiries arising from:
    • Securities and Futures Ordinance (Cap.571); and
    • Companies Ordinance (Cap.622);
  • cases involving:
    • money laundering;
    • financial market fraud;
    • corruption;
    • directors and shareholders’ rights;
    • contract; and
    • divorce (financial provision).

Ms. Dou has also appeared in the High Court for her client, arguing issues relating to directors and shareholders’ rights arising from the Companies Ordinance (Cap.622).

Course Outline:
Legislation Concerned with Money Laundering

  • Cap.615 - Anti-Money Laundering and Counter-Terrorist Financing Ordinance (AMLO)
  • Cap.405 - Drug Trafficking (Recovery of Proceeds) Ordinance
  • Cap.455 - Organized and Serious Crimes Ordinance
  • Cap.575 - United Nations (Anti-Terrorism Measures) Ordinance

Risk Factors

  • Product/service risk
  • Delivery/distribution channel risk
  • Customer risk
  • Country risk

Compliance Officer (CO) and Money Laundering Reporting Officer (MLRO)

  • Role and responsibilities of CO
  • Role and responsibilities of MLRO

Customer Due Diligence (CDD) and Record-keeping

  • Customer Due Diligence (CDD)
  • Enhanced Customer Due Diligence (EDD)
  • Simplified Customer Due Diligence (SDD)

Ongoing Monitoring, Assessment and Documentation

  • Update customer information
  • Frequency of monitoring (risk-based)
  • Monitor activities (including cash and non-cash transactions) - spot inconsistency
  • Scale of transactions - complex? large?
  • Pattern of transactions - unusual? no apparent economic or lawful purpose?

Suspicious Transaction Report (STR) to the Joint Financial Intelligence Unit (JFIU)

  • What is the JFIU?
  • Why to make a report?
  • When to make a report?
  • How to make a report?
  • Restrictions after making a report

This course is provided by:  Kornerstone Limited
Relevant CPD Courses
Course: SFC Investigation # SFC Investigation
Presenter(s): Ms Michelle C.Y. Dou
Code:
EVT000000272
Date: 23 November 2018 (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 3.0 CPD Points
SFC 3.0 CPT Hours
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