保险及金融法规遵守 – 打击洗钱及恐怖分子资金筹集

(此课程目标只提供英文版)

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.