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Insurance and Financial Regulatory Compliance – Anti-Money Laundering and Counter-Terrorist Financing
MPFA: 3 Non-core CPD hours
SFC: 3 CPT hours
HKMA ECF: 3 CPD hours
| Class Code | Commencement Date | Class Location | Medium of Instruction | Apply Online | Class Remarks | Class Status |
| PE4200022(9JUN2026) | 2026.06.09 |
Institute of Professional Education and Knowledge (PEAK)
Institute of Professional Education and Knowledge (PEAK) |
Cantonese supplemented with English |
|
Date: 9.6.2026
Time: 6:45pm-9:45pm Duration:3 hours Venue: 9/F, VTC Tower, 27 Wood Road, WanChai |
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
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)
*This programme is co-organised with Professional Insurance Brokers Association (PIBA) and will be recognised as IA-CPD credits.
Entry Requirements
18 years old or above
Remarks
.
Enrollment
Please use the attached enrollment form and follow the “Notes for Applicants” in the form to apply for courses.
All places are allocated on a first-come-first-served basis. Incomplete forms and forms received without payment will be regarded as unsuccessful applications.
Deadline for Application
7 working days (Exclusive of Saturdays) prior to class commencement date.
Notification of Class Commencement
Successful applicants will be notified of the class information by the contact method specified on the enrollment form at least 3 working days before class commencement. PEAK will not be responsible for the loss of class notification sent by mail. Please contact us if you do not receive the notification before the class commencement (Tel.: 2836 1906).
Course Fees/Receipt
For a course commencing within 7 working days at the time of enrollment, trainees are required to settle the course fee by cash.
Course fees paid are also non-refundable, except for cases of unsuccessful applications and course cancellation or rescheduling. Fees paid and places enrolled are also not transferable, and request for course swapping will not be entertained.
Trainees will sign and collect the receipt at the first lesson. Fees paid after the enrollment deadline may result in delay in receipt issuing. For those who have not collected the receipts at the first lesson, our staff will contact them for picking up / mailing arrangement. PEAK will not be responsible for any loss in mailing. Trainees will be required to pay an administrative charge of HK$100 for their request for each additional receipt copy. Please send crossed cheque payable to “Vocational Training Council” with a written application attention to “The Course Team” of the Institute. (Inquiry: 2836 1862)
Enrollment Form for Programme Application
Tel :28361922
Online Email Enquiry
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