Money laundering and terrorist financing (“ML/TF”) can present
significant compliance, reputational and operational risks for corporations and
have an economic impact on most businesses. Regulators have been taking
positive steps to combat ML/TF as well as identify deficiencies in the
anti-money laundering (AML) and counter-terrorist financing (CTF) systems and
controls of the corporations.
TMA is delighted to have invited Ms. Annie Chan, Managing Director of
Mazars Corporate Recovery & Forensic Services Limited, to share with TMA Members the latest update on AML. This seminar will give an overview and the key concepts of money
laundering and terrorist financing, International AML/CTF standards such as
Customer Due Diligence (“CDD”), record keeping and recognition and reporting of
suspicious transactions. It also presents AML/CTF legislation and regulations
in Hong Kong, the Securities and Futures Commission Guideline on AML/CTF, as
well as the latest updates.
Ms. Annie Chan, Managing Director of Mazars Corporate Recovery &
Forensic Services Limited
Annie Chan has specialized in forensic
accounting, regulatory compliance consulting, fraud investigation, dispute
resolution and corporate advisory services for over 20 years. Her specific
focus and expertise are in the areas of forensic accounting, anti-money
laundering review and internal control review. She has also been a Senior
Manager, Enforcement Division, at the Securities and Futures Commission and a
partner and Managing Director of a Big Four Accounting firm.
She has advised and assisted major
financial institutions in the implementation of anti-money laundering programs
based on antimony laundering international best practice including the 40
Recommendations of the Financial Action Task Force (FATF), the US Patriot and
local laws and regulations.
Annie has also led various regulatory
compliance and investigation projects involving the Securities and Futures
Ordinance and other relevant regulations for regulators, listed companies,
major bankers, insurance brokerages and other financial institutions in Hong
Kong, China and other parts of Asia.
She has also provided training and
professional advice to banks, financial institutions and multinational
companies on corporate governance, internal control, anti-money laundering,
regulatory compliance updates, code of conduct, risk management and fraud risk
She is an experienced public speaker
and has made numerous presentations on corporate recovery, fraud investigation
and regulatory updates for clients, solicitors and bankers. Annie speaks fluent
English, Cantonese and Mandarin.
TMA Individual Members are entitled to receive 1 CPD (TMA) credit upon
completion of the seminar. TMA is a recognized institution for providing continuing
professional development (CPD) of the Securities and Futures Commission (SFC).
The CPD hours can be used to meet CPD requirements of the SFC. To qualify for the CPD credits or attendance
certificate of the seminar, all attendees have to sign-in and sign-out. We
regret that neither CPD nor attendance certificate will be given to those who
are late for the seminar or leave early. TMA Office will update your CPD record
with the TMA (i.e. your CPD record as a TMA Individual Member) after the
seminar is held.