Aims and ObjectivesThe course aims at enhancing the students’ abilities to identify Anti-Money Laundering (AML) and Counter-Terrorist Financing activities; and their capabilities in meeting related regulations and compliance in their workplace.

Upon completion of the course, participants should be able to: Explain regulations on anti-money laundering and terrorist �nancing

required by various regulatory bodies in Hong Kong Identify various methods of and suspicious behaviour on money laundry Recognize commercial frauds and market manipulation Elucidate anti-money laundering compliance requirements in banking and

wealth management in Hong Kong

StructureThe course consists of 8 modules with a total of 22 contact hours.

Module 1 Anti-Money Laundering and Terrorist Financing Regulations (3 hours)(163-50257)

Module 2 Regulatory and Compliance Requirements in Hong Kong (3 hours)• Rules and regulatory requirements under Hong Kong Monetary Authority • Securities and Futures Commission • Hong Kong Stock Exchange • Office of the Privacy Commissioner of Personal Data

Module 3 Stages of Money Laundering (3 hours)• Placement stage• Laying stage• Integration stage

Module 4 Classical Methods of Money Laundering in Different Industries (3 hours)• Banks and financial institutions• Money and currency exchanges• Credit cards payments• Online transactions, gambling and casino• Insurance and investment• Travelling agents• Retail corporates• Food, hotels, telecommunications• Real estate agents / building management• Legal and accounting professions

Module 5 Suspicious Employee and Customer Behaviour (2 hours)• Signs of suspicious employee behaviour• Preventing and handling suspicious employee behaviour

Module 6 Insider Dealing and Market Abuse (2 hours)• Definition of insider and connected person• Essential elements of insider dealing• Regulatory mechanism for insider dealing in Hong Kong

(163-50258)

(163-50259)

(163-50260)

(163-50261)

(163-50262)

Professional Development Course on Anti-Money Laundering and Counter-Terrorist Financing Compliance

Module Course Fee Date & TimeModule 1 Anti-Money Laundering and Terrorist Financing Regulations HK$860 29 Oct 2016 (Sat), 2:00pm-5:00pmModule 2 Regulatory and Compliance Requirements in Hong Kong HK$860 12 Nov 2016 (Sat), 2:00pm-5:00pmModule 3 Stages of Money Laundering HK$860 26 Nov 2016 (Sat), 2:00pm-5:00pmModule 4 Classical Methods of Money Laundering in Di�erent Industries HK$860 5 Nov 2016 (Sat), 2:00pm-5:00pmModule 5 Suspicious Employee and Customer Behaviour HK$580 19 Nov 2016 (Sat), 2:00pm-4:00pmModule 6 Insider Dealing and Market Abuse HK$580 10 Dec 2016 (Sat), 2:00pm-4:00pmModule 7 Commercial Fraud and Market Manipulation HK$860 17 Dec 2016 (Sat), 2:00pm-5:00pmModule 8 Anti-Money Laundering and Terrorist Financing Compliance

Requirement in Banking and Wealth Management

SCO

PE/1

/16/

07/2

613

Module 7 Commercial Fraud and Market Manipulation (3 hours)• Indicators of commercial fraud• Recognizing and preventing commercial fraud• Defining market manipulation• Identifying and preventing market manipulation

Module 8 Anti-Money Laundering and Terrorist Financing Compliance Requirement in Banking and Wealth Management (3 hours)

• Overview of anti-money laundering and terrorist financing• Key provision of Hong Kong legislation• Warning signs • Customer due diligence• Preventing money laundering and terrorist financing

Admission Requirements(i) Degree holders or above in any disciplines from recognized tertiary institutions or equivalent; OR (ii) Non-degree holders with a minimum of 1 year of experience in relevant areas such as law, AML, compliance,

corporate & �nancial services, banking, insurance, accounting, business consultancy, company secretarial services, human resources, or retail services.

Medium of InstructionThe course will be delivered in Cantonese, supplemented with English. Teaching materials will be in English.

Assessment and Attendance RequirementNo assessment is required. Participants are required to attend each registered module no later than 15 minutes after commencement of the module.

Certi�cationA Letter of Certi�cation which indicates the Continuing professional development (CPD) hours will be issued to participants who have ful�lled the captioned attendance requirement of each module. A Certi�cate of Attendance will be awarded to participants who have attended all the 8 modules and ful�lled the captioned attendance requirement of each module.

Class VenueThe classes will be held in CityU SCOPE Learning Centre at Kowloon Tong.

Course Fee*HK$6,320 in total. Applicants may enroll in individual module(s). The course fee for each module is as following:

HK$860

*Remarks: (i) Applicants who enroll in all the 8 modules will enjoy a 15% discount on course fee for each module. (ii) Applicants who enroll in 3 modules or above will enjoy a 10% discount on course fee for each module.

Application Deadline15 October 2016

EnquiriesSchool of Continuing and Professional Education, City University of Hong KongLocation : LG/F, Academic Exchange Building, City University of Hong Kong, Tat Chee Avenue, KowloonTel : 3442 5487 / 3442 7423 Email : team3@scope.edu Website : www.scope.edu

(163-50263)

(163-50264)

3 Dec 2016 (Sat), 2:00pm-5:00pm

Please refer to the Application Guide & Programme Information before completing this form. Kindly fill in the application form clearly in English BLOCK Letters.

Qualifications

Name in English (as shown on HKID Card/Passport)

Name in Chinese Gender Date of Birth

HKID Card/Passport No * Nationality

Non-local applicant please “ ” the box (Please attach a copy of your HKID card)

Correspondence Address

Hong Kong Kowloon New Territories Others (Please specify)

Company Position

Tel (Office) (Home) (Mobile#) Fax Email

Personal Particulars

Course Enrollment

I would like to enroll in all the 8 modules of the course. The total course fee is HK$5,372 (15% discount on course fee for each module). I would like to enroll in the following module(s) of the course:

(dd/mm/yy)M / F*

Dr / Mr / Mrs / Ms*

# Urgent notice(s) will be sent to your mobile phone via SMS * Please delete as appropriate

(Please enter first 4 digits only. e.g. Y123XXXX)

Secondary or below

Form 5 or equivalent

HKDSE, Form 6, Form 7 or equivalent

A. Highest Education Level Attained (Please " " as appropriate)

Diploma / Higher Certificate / Certificate

Associate Degree / Higher Diploma

Bachelor's Degree

Postgraduate Diploma / Certificate

Master's Degree

Doctoral Degree

B. Professional Qualifications (in reverse chronological order) If there is insufficient space, please give details on a separate sheet to be attached to this application form.

Awarding Institution Professional Qualifications Year of Attainment

Application Form for Professional Development Course on Anti-Money Laundering and Counter-Terrorist Financing Compliance

(Please " " as appropriate)

Course Code Module Title Course Fee▲ Date & Time

163-50257 Module 1 Anti-Money Laundering and Terrorist Financing Regulations HK$860 HK$774 163-50258 Module 2 Regulatory and Compliance Requirements in Hong Kong HK$860 HK$774 163-50259 Module 3 Stages of Money Laundering HK$860 HK$774 163-50260 Module 4 Classical Methods of Money Laundering in Different Industries HK$860 HK$774 163-50261 Module 5 Suspicious Employee and Customer Behaviour HK$580 HK$522 163-50262 Module 6 Insider Dealing and Market Abuse HK$580 HK$522 163-50263 Module 7 Commercial Fraud and Market Manipulation HK$860 HK$774 163-50264 Module 8 Anti-Money Laundering and Terrorist Financing Compliance HK$860 HK$774 Requirement in Banking and Wealth Management

Course Fee▲ (10% off for applicants who enroll in 3 or more modules)

29 Oct 2016 (Sat), 2:00pm-5:00pm12 Nov 2016 (Sat), 2:00pm-5:00pm26 Nov 2016 (Sat), 2:00pm-5:00pm5 Nov 2016 (Sat), 2:00pm-5:00pm19 Nov 2016 (Sat), 2:00pm-4:00pm10 Dec 2016 (Sat), 2:00pm-4:00pm17 Dec 2016 (Sat), 2:00pm-5:00pm3 Dec 2016 (Sat), 2:00pm-5:00pm

▲ Please use a separate cheque for the fee of each module.

SCOPE/2/16/07/2632

Application Guide

Applicants may enroll in person or send the completed enrollment form together with the course fee in form of crossed cheque(s) or cashier’s order(s) made payable to “City University of Hong Kong” to:School of Continuing and Professional Education (SCOPE)Lower Ground Floor, Academic Exchange Building, City University of Hong Kong, Tat Chee Avenue, KowloonOffice hours: Mon-Fri: 9am-12noon; 2pm-5pm Sat:9am-12noonClosed on Sundays and Public HolidaysEnquiries : 3442 5487 / 3442 7423Email : team3@scope.eduWebsite : www.scope.eduPlease use a separate cheque for the fee of each module. Post-dated cheque(s) will not be accepted.Reservation of a place by email is not accepted.CityU SCOPE reserves the rights not to admit an applicant. Places allocated in each class are not transferable. Fees are not refundable or transferable.CityU SCOPE reserves the rights to alter course details such as date, time,venue and instructor as well as to cancel courses.Non-local applicants are defined as persons entering Hong Kong for the purpose of education with a student visa/entry permit issued by the Director of Immigration. For details, please contact the Immigration Department of the HKSAR Government (Tel: 2824 6111; Website: www.immd.gov.hk)Participants will receive an acknowledgement of enrollment together with venue directions at least one week before commencement of the 1st module. Please contact us if you do not receive any notification one week before course commencement of the 1st module.Personal data provided on the application form will be used by CityU SCOPE for purposes related to application and admission. For details of the Personal Data Collection Statement, please refer to the website: http://www.cityu.edu.hk/ce/pdcsCityU SCOPE is committed to equal opportunities in education and seeks to provide every possible means to assist students with disabilities and to facilitate their learning. Students concerned are invited to write to CityU SCOPE to specify what special assistance is needed. All information collected will be kept confidential.CityU SCOPE will make special arrangements when Typhoon Signal No. 8 or above is hoisted, or when a Black Rainstorm Warning Signal is issued by the Hong Kong Observatory. Please visit CityU SCOPE Website for details.

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completed the appl icat ion formsigned and dated the application formsupplied other relevant information (if necessary)attached crossed cheque(s) or cashier’s order(s) made payable to “City University of Hong Kong”

Before submitting your application, please check if you have :

Checklist for Application

Declaration

Signature Date簽署 日期

I declare that I have read and understood the nature and details of the Application Guide & Programme Information.I declare that all the information given in support of this application form and the attached supporting documents are, to the best of my knowledge, accurate and complete, and agree to provide original document(s) for verification of my qualifications when required. I understand that this information will be used in the admission decision process, I accept that if, in reading and completing this application, I knowingly or carelessly provided untrue or incomplete information, any offer of admission, whether accepted or not, may be disqualified and / or I may be required to withdraw from any programme which I am enrolled in and all fees paid will not be refunded.I authorize CityU SCOPE to obtain, and the relevant authorities to release, any and all information about my academic and / or professional qualifications obtained in Hong Kong and elsewhere.I authorize CityU SCOPE to use my data to carry out checks regarding my application and records of previous studies in the University and other institutions.I understand that, upon my registration in a programme, the data will become part of my student record and may be used for all purposes related to my study in the programme.I consent that if admitted to the programme, I will conform to the statutes and regulations of City University of Hong Kong and CityU SCOPE.

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Source of Information

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29 Oct 2016 (Sat), 2:00pm-5:00pm12 Nov 2016 (Sat), 2:00pm-5:00pm26 Nov 2016 (Sat), 2:00pm-5:00pm5 Nov 2016 (Sat), 2:00pm-5:00pm19 Nov 2016 (Sat), 2:00pm-4:00pm10 Dec 2016 (Sat), 2:00pm-4:00pm17 Dec 2016 (Sat), 2:00pm-5:00pm3 Dec 2016 (Sat), 2:00pm-5:00pm