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(課程編號1520) Knowing and Surviving the TCSP and AML Regime from the Legal Perspective
Code 1520 (22 Oct 2020)

Since the amendments to the Anti-Money Laundering and Counter-Terrorist Financing (Financial Institutions) Ordinance (Cap.615) have come into effect from 1st March 2018, Certified Public Accountants and Trust or Company Service Providers (TCSP) are now under statutory regulation in respect of compliance with anti-money laundering regime in Hong Kong.


In this seminar, the Presenter Ms. Careen Wong would explain and dissect the Hong Kong AML regime with reference to the relevant Ordinances and guidelines with discussions on issues of special interests and recent legal developments.


1.     AML/CTF regime

a. TCSP license

b. Statutory duty on TCSP licensee


2.     Fulfilling the statutory duty of TCSP licensee

a. Understanding the essential concepts

b. Operational implementation and ongoing monitoring

i.      Know Your Client – Client Due Diligence

ii.      Risk Assessment

iii.     Monitoring

iv.     Reporting

v.      Record-keeping

vi.    Training

c. Issues of special interests

i.      Politically Exposed Person and Connected Parties

ii.      Intermediaries

iii.     Corporations incorporated outside Hong Kong

1.         Certificate of incumbency

2.         Notarization, Apostille, Legalization and Attestation by China-Appointed Attesting Officer


3.     Case sharing, practice discussions and recent legal developments






Ms. Careen Wong

Solicitor of the High Court of Hong Kong SAR

Managing Partner of Shum Wong & Co., Solicitors


Careen is the Founder and Managing Partner of her own firm and has been responsible for the overall management, finance and strategic planning for over 10 years. She leads the Firm’s Non-contentious Department and cross-border legal services and is a China-Appointed Attesting Officer. She regularly advises on wide-ranging company and commercial matters, general and New Territories property transactions and estate planning.


Careen is a Council Member and Chairperson of the Standing Committee of Standards and Development of The Law Society of Hong Kong and a member of the Ethics Committee of the Hong Kong Institute of Certified Public Accountants. She is committed to public services on various platforms. She regularly conducts lectures and training sessions, moderates and speaks in conferences and seminars.

06:30 PM - 08:00 PM
網路研討會 (zoom直播)
1.5 小時
正式會員* HK $150
附屬會員 HK $150
正式會員之僱員 HK $150
非會員 HK $250