In view of the introduction of an investor identification regime (HKIDR) by SFC coming soon, do you have a comprehensive KYC management, AML monitoring and trade surveillance system?

Recently a large bank in Hong Kong was fined a huge amount by SFC for the failures and regulatory breaches – the BCAN related errors under the northbound trading link of Stock Connect (CCS) without a proper KYC management, i.e. the manual nature of account creation procedures and the use of manual processes in updating data between the systems.

The introduction of an investor identification regime is in place very soon, SFC will be easier and faster to identify the suspicious trade, does your company have enough resources to avoid the risk of regulatory breaches before notification from SFC? That is why the holistic surveillance system is absolutely no doubt a must.

Please register for the webinar we will share some tips in KYC, AML monitoring and trade surveillance.

Date: Wednesday 18 May, 2022

Time: 4pm

Language: Cantonese 粵語

Speaker:

Mr. Nelson Wong, Business Development Director, abc Multiactive (HK) Limited

Register:

https://attendee.gotowebinar.com/register/3178685240165817616