AML/CTF and Insider Dealing Online Training is not only mandatory requirement with the SFC, but an essential component to raising awareness among an organization’s staff, concerning money laundering and terrorist financing risks and the statutory requirements to disclose inside information are central to the orderly operation and integrity of a market. Effective training can be considered the first, last, and best AML/CFT and insider dealing tool for risk management and control.
This online training is suited to anyone works in the financial industry, as well as those aspiring to get in the industry. This course also allows those working in finance to refresh their knowledge of AML and CFT and Insider Dealing, and meet the regulatory requirement of the SFC. It includes the following:
1. Senior management of licensed corporations;
2. Fund managers and asset managers;
3. Responsible Officers (“RO”)/ Licensed Representatives (“LR”) ;
4. Manager-in-charge (“MIC”) of AML/ CFT and Insider Dealing;
5. Compliance officers and Money Laundering Reporting Officer (“MLRO”).
The procedures to access our Online Training are listed as follows:
1. Access and download the online training;
2. Receive an email including the link to access the digital exam, login details (i.e. username, and password) to access the online examination prior to the training;
3. The exam will be marked automatically and you will get the result and performance report under the “Exam History” immediately;
4. Receive a follow-up email concerning the marked exam papers, a supporting certificate, and a signed attendance record shortly thereafter; and
5. The Compliance Department should save the marked exam papers and signed attendance record for the internal record.