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The Profectional Newsletters
26 October 2018

Anti-Money Laundering
in Financial Institutions
#

SFC Investigation #

Anti-Money Laundering in Financial Institutions SFC Investigation

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)

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)

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Code: EVT000000271 Code: EVT000000272
Date: 29 October 2018 (Monday) Date: 23 November 2018 (Friday)
Time: 14:30 - 17:45
(Reception starts at 14:00)
Time: 14:30 - 17:45
(Reception starts at 14:00)
Venue: Kornerstone Institute
15/F, Hip Shing Hong Centre
55 Des Voeux Road Central
Central, Hong Kong
Venue: Kornerstone Institute
15/F, Hip Shing Hong Centre
55 Des Voeux Road Central
Central, Hong Kong
Level: Intermediate Level: Intermediate
Language: English Language: English
Accreditations: LSHK 3.0 CPD Points
SFC 3.0 CPT Hours
Accreditations: LSHK 3.0 CPD Points
SFC 3.0 CPT Hours
Admission: Standard Fee: HK$1,780.00
Please call 2116 3328 for details
and Group Discount
Admission: Standard Fee: HK$1,780.00
Advanced Booking: HK$1,480.00
(on or before 9 November 2018)

Please call 2116 3328 for details
and Group Discount
This course has been accredited by
the Law Society of Hong Kong
for 3 CPD Points, last chance,
register now!
This course has been accredited by
the Law Society of Hong Kong
for 3 CPD Points,register now!
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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

Course Outline:

  • The SFC’s powers to require information and powers of investigation
  • The key provisions in relation to the SFC’s powers to require information from listed corporations
  • The key provisions in relation to the SFC’s powers to require information from intermediaries and their associated entities
  • The key provisions in relation to the SFC’s powers to require information relating to transactions
  • The key provisions in relation to all person approached by the SFC for SFC’s investigations
  • The key provisions in relation to the destruction of documents required by the SFC or for the SFC’s investigations
  • Consequences of the violation of any provision and misconduct - Disciplinary Action and Deeming provision by the SFC
  • Consequences of the violation of any provision and misconduct - Civil proceedings under Part XIII before the Market Misconduct Tribunal (MMT) instituted by the SFC
    1. Examples of market misconducts
    2. Components of the Market Misconduct Tribunal
    3. Functions of the Market Misconduct Tribunal in relation to market misconduct proceedings
    4. Functions of the Market Misconduct Tribunal in relation to disclosure proceedings
    5. How market misconduct proceedings are instituted by the SFC
    6. How disclosure proceedings in relation to the requirement for listed corporations to disclose inside information are instituted by the SFC
    7. Market misconduct proceedings vs. Criminal proceedings - mutually exclusive?
    8. Every sitting of the Market Misconduct Tribunal is generally held in public
    9. Procedures of the sitting of the Market Misconduct Tribunal
    10. Orders to be made by the Market Misconduct Tribunal in relation to market misconduct proceedings
    11. Orders to be made by the Market Misconduct Tribunal in relation to disclosure proceedings
    12. Options available if you are not satisfied with the results of the market misconduct proceedings and/or disclosure proceedings
  • Consequences of the violation of any provision and misconduct - Criminal prosecution under Part XIV, either brought on indictment by the Secretary for Justice or summarily by the SFC [Cap.571 - Securities and Futures Ordinance (SFO) - s.388]
  • Consequences of the violation of any provision and misconduct - Civil proceedings for remedies provided under SFO s.281 and s.305
  • Consequences of the violation of any provision and misconduct - Civil proceedings for remedies provided under SFO s.213

10% Off Special Discount: Enroll any 3 or more courses | Register a group of 3 or more
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- Cases on Solicitors’ Negligence
*
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Presenter(s): Dr. Roger So
Code:
EVT000000262
Date: 26 October 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 RME Elective Hours
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Date: 29 October 2018 (Monday)
Time: 09:30 - 12:45
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21-23 Des Voeux Road Central, Central, Hong Kong
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HKMAAL 3.0 CPD Points
HKIAC 3.0 CPD Points for Accredited Mediators
HKMC 3.0 CPD Points
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- From Front Page News to Media Crisis
#
A Lawyer's Guide to Dealing with Journalists - From Front Page News to Media Crisis
Presenter(s): Ms Jane Moir
Code:
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Date: 30 October 2018 (Tuesday)
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
Course: Identifying Anti-Money Laundering (AML) Issues
in Employment Process
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Presenter(s): Mr. Albert So
Code:
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Date: 31 October 2018 (Wednesday) (Amended)
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 3.0 CPD Points
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Discount Ends Today, Register Now!
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Presenter(s): Prof. Julien Chaisse
Code:
EVT000000256
Date: 30 November 2018 (Friday) (Amended)
Time: 09:30 - 12:45 (Amended)
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
Admission: Standard Fee: HK$1,780.00
Advanced Booking: HK$1,480.00
(on or before 16 November 2018)
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Course: Decision-Making Procedures: Getting Them Right
(and What to Do When They Go Wrong)
#

Discount Ends Next Friday, Register Now!
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Presenter(s): Dr. Stephen Thomson
Code:
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Date: 7 December 2018 (Friday) (Amended)
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
Admission: Standard Fee: HK$1,780.00
Advanced Booking: HK$1,480.00
(on or before 23 November 2018)
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+ Courses jointly provided in partnership with:  CEDR Asia Pacific Limited
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