_logo_1618977560081.jpg "Institute of Professional Education And Knowledge (PEAK)"){kind=logo}
Course Information
Schedules
- 29 Apr 2025 (Tue) 6:45 PM - 9:45 PM
Registration period
14 Apr 2025 (Mon) - 28 Apr 2025 (Mon)
Price
HKD 300
Course Level
Study Mode
Duration
3 Hour(s)
Language
Cantonese
Location
香港灣仔活道27號職業訓練局大樓9字樓
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Course Overview
Introduction
This course is designed for insurance and financial intermediaries to understand the latest statutory and regulatory requirement regarding Anti-money Laundering and Counter-Terrorist Financing (AML & CTF) for insurance and financial industry.
Objectives:
To enable participants to understand and its applications for:
-The statutory and regulatory requirement imposed on Insurance intermediaries by Anti-Money ---Laundering and Counter-Terrorist Financing (Financial Institutions) Ordinance and OCI’s Guidance Note 3 & 3A, with the highlights of the framework of Risk-Based Approach and Customer Due Diligence
Who Should Attend:
- Insurance intermediaries and persons responsible for advising on financial products
- Executives especially responsible for compliance and/or marketing promotion
*This programme is co-organised with Professional Insurance Brokers Association (PIBA) and will be recognised as IA-CPD credits.
What You’ll Learn
Course Contents:
- How to establish general policies and procedure for AML & CTF legislations and regulators’ guidelines
- Customer due diligence
。Risk-based approach
。Introduction to “Politically Exposed Persons”
。Risk assessment and periodic re-assessment
- Record-keeping
- Suspicious Transaction Reporting (STR) procedure
- Staff training requirement under OCI’s Guidance Note 3
- Self-Assessment on Compliance with AML Guideline (Broker)
Skills covered in this course
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