Compliance

Click the below link for the course details:

• AI-Powered Compliance and AML: Transforming Banking Practices  [Click HERE for details] 19 Nov 2024 (Tue)  | 12:00nn - 2:00pm [Virtual Classroom]

• Enhancing Compliance: The Role of Tokenisation and AI in Prudential and Conduct Regulation  [Click HERE for details] 26 Nov 2024 (Tue)  | 12:00nn - 2:00pm [Virtual Classroom]

• Regulatory Reporting Compliance: Exploring the Framework for Authorized Institutions (AIs) [Click HERE for details] 30 Nov 2024 (Sat)  | 9:00am - 12:00nn [Virtual Classroom]

     Click HERE for more courses or contact us for any tailor made courses by email programme@hkib.org or call us at 2153 7800 2

• The Need-to-know for a MLRO (Money Laundering Reporting Officer)
• Managing Cross-border Personal Data Transfer to Accelerate Digital Business (HK, EU and Mainland China)
• Adopting AML Control In Mitigating Tax Evasion Risk
• Advance KYC in Practice - Best Practical Examples and Case Studies with reference to HKMA AMLO Guidance
• Alarming 2019 AML Trend-Enforcement by the Regulators with Recent Enforcement Cases in HK
• AML in Fintech
• AML Framework & Regulations in Fintech Industries
• AML in Fintech Industries 
• AML/CFT in Private Banking
• AML/CFT Refresher Training 
• AML & CFT Compliance - The Latest Regtech Application
• AML Framework & Regulations in Fintech Industries
• Anti-Bribery and Corruption programme for banks & financial institutions
• Anti-Money Laundering in Private Banking with 2020/2021 Case Studies
• Anti-Money Laundering Risk : Regulations vs Risk Culture in 2021 and Ahead
• Banking Insight – Practical Update: Addressing Money Laundering Risk – HKAB Guidance Paper on Combating Trade-based Money Laundering
• Banking Insights – Practical Update: Implementation to the Competition Ordinance Impact on the Banking Industry 
• Banking Insights - Practical Update: Tightening Controls? - Tax Evasion of AML
• Compliance with HKMA'S Requirements On AML And Fraud Prevention With The Application And Adoption Of Regtech
• Common Fallacies in AML/CFT Risk Management in the Local Banking Industry (with Case Studies)
• Common Reporting Standard – How to deal with the Hong Kong implementation? 
• Common Reporting Standard – How to deal with the Mainland China / PRC implementation & PRC clientele? 
• Common Reporting Standard – The Regional Authorities’ Response & Establishment of Risk Culture Impact upon Hong Kong and Mainland China
• Corporate and Individual Ethics in Banking Industries
• COVID-19 and AML Measures
• COVID-19疫情下全球金融騙案和洗錢之情況與案例分享
• Cultivating a Sound Bank Culture - Reflections on Ethics and Beyond
• Designing an Effective AML/CFT Compliance Function Incorporating RegTech Tools
• Design an Effective Data Privacy and Protection Strategy
• Differences of Regulatory Requirements and Structures of Bank Financing for Privatization between Mainland China and Hong Kong
• Documentary Collection and Documentary Credit – Closer look 
• FDRC And Media Concern On Upsurging Customer's Complaints Relation To Digital Banking, Credit Card Transaction And Binding Fraud Liability Disputes
• Ethics , Conducts, Competency and Code of Banking Practice
• EU Data Privacy law: The impacts of the GDPR on financial institutions in Hong Kong
• Financial Statement Fraud & Reporting Quality Evaluation of Financial Statements for Financing Managers 
• Focus of FATCA & CRS in 2020 & ahead - Its Key Impact on Hong Kong
• From Global to Local – Top 10 Regulatory & Enforcement Trends
• Global Trend on AML Regulatory Regime based on US & UK AML models
• Global Regulatory & Enforcement - Six Major 2021 & Ahead Trends with latest Analyzed Cases
• Global Regulatory Trend – Focus on US / UK Anti Money Laundering Models
• Global Regulatory and Enforcement Six Major Trends With latest Cases Analysis 
• Global Whistleblowing Trends in 2024 and Beyond: Legislation, Enforcement, and Possible Impact on HK, with Analysis of UK, EU, and Canada
• How to Conduct Financial Fraud Investigation 
• How to Make Anti-Money Laundering Risk Well Managed in 2019 & Ahead? 
• How to Make Anti-Money Laundering Risk Well Managed in 2020 & Ahead ?
• HKMA Guideline on AMLO 2023: Updates, Impacts and Applications
• Impact of China Personal Information Protection Law (PIPL) to the Banking Industry in Hong Kong
• Internal audit in Financial Institutions 
• Introduction to Financial Fraud 
• International Taxation, Succession Planning, Regulatory Compliance and Anti-Money Laundering for Private Banking
• 2024 and Ahead International Leading Digital Assets’ Legislative, Enforcement Trends from EU, UK to HK Regulatory Regime Perspective
• KYC Refresher - Best Practices and Practical Examples in Adopting Latest HKMA AMLO Guidance and HKAB FAQ
• KYC and Customer Documents Review for Corporations in Asia
• Latest Regulatory Trends in AML/CFT
• Latest AMLD and the impact on Hong Kong with Case Studies
• Lessons Learnt from AML Enforcement Actions since the Enactment of the AMLO
• Latest Enhancement Measures for Electronic Banking Security
• Major Trends of Global Regulatory & Enforcement on Anti-Money Laundering with Cases Studies
• Manage AML Risk in Banking Context Part I – AML Directives, with focus on 2020 implementation
• Manage AML Risk in Banking Context Part II - Regulation vs Risk Culture
• Manage AML Risk in Banking Context Part III - OFAC, Compliance Trend & Regional AML Laws
• Manage AML Risk in Financial Industry Part IV - Sanction, Compliance Trend, Global & Regional AML Pertinent Rule & Recent Cases
• Manage Global Sanction with most recent cases sharing in 2020
• Manage Global Sanction with most recent cases sharing in 2020
• Money Laundering Activities in Trade Finance (Case Studies) 
• Overview of Key Provisions of the Banking Ordinance
• OFAC Sanction Risk and Compliance Trend with Recent Hong Kong Case Studies
• Phishing Scams Fraud Controls:Latest Regulatory Requirements
• Private Banking 2020/2023 Case Studies With Anti-Money Laundering Analyses
• Practical Fraud Analytics & Prevention in Retail & eBanking
• Practical Tips for Ensuring Compliance with the Code of Banking Practice (with Case Studies) 
• Practical Tips for Transaction Monitoring and Suspicious Transaction Reporting (with Case Studies)
• Practical Understanding of the Anti-Money(AML) and Counter-Financing of Terrorism (CFT)
• Risk-Based Approach For AML Compliance Programme
• Risk Management on eBanking and Remote Onboarding
• Regulatory Compliance Considerations Over Fintech Innovation in Banking
• Regulatory Expectations and Concerns for Selling of Investment Products
• Regulatory Expectations and Concerns for Selling of Bancassurance Products
• Regulatory Expectations for Regtech Adoption in the Local Banking Industry
• AML Regulatory Update with Lessons Learned From Recent Enforcement Actions
• Sanction Compliance and 2020 cases
• Suitability Obligations on Complex Products Distribution
• The Need-to-know for an MLRO
• The Changing Compliance Landscape Let's talk About Sanctions
• Top 4 Regulatory & Enforcement Trends in Year 2021 & Ahead with latest cases' analysis
• Top 10 Regulatory & Enforcement Trends With 2019 to 2021 Cases Analysis - Anti Corruption vs Anti Money Laundering Perspective
• Top 4 Regulatory & Enforcement Trends in year 2021 & ahead with Latest Cases Analysis
• Trends of Money Laundering Activities in Trade Finance 
• Trends of Money Laundering in International Trade Finance (Case Workshop)
• Updates in Basel III Framework 
• US Sanctions on HK - Inconvenience or Impact ?
• Virtual Assets Regulations and AML Risk Management
• Virtual Banking Security & Data Protection Regulation in a Global Context
• Workshop on Key AML and Fraud Risk Controls on Private Banking
• Workshop on Key AML Control/Risk Assessment on Trade Finance Activity 
• Workshop on Transaction Screening, Transaction Monitoring and Suspicious Transaction Reporting Under AML Requirements
• What you need to know about eKYC in Virtual Banks and Recent Updates on AML/CFT
• 中國公司法概論 (從融資角度進發) 
• 中國債權法及破產法 – 從投資及融資防守角度進發
• 中國銀行業及相關法規概論 
• 中港兩地基金法律法規概要
• 內地金融要領系列課程(一)：中國銀行業法律法規概要 
• 反洗黑錢 - 如何面對香港的相關條例與刑罰？
• 跨境人民幣貸款業務拓展與法規