Compliance & AML/CTF Training

Regulators expect financial institutions to provide continuous and ongoing compliance and AML/CTF training to staff of senior management, front office, middle office and back office to ensure that staffs are kept up to date on recent regulatory changes, and that the compliance and AML/CFT requirements are well communicated. ​ComplianceDirect assists clients in meeting the regulators’ expectations.

We will assist you by:  

  • Providing compliance and AML/CFT training to licensed and registered staff in order to fulfill the SFC's yearly continuous professional training (CPT) requirements, the ongoing professional training (OPT) requirements for private wealth management practitioners, and the continuous professional development (CPD) requirements for insurance practitioners

  • Providing training on the latest regulatory changes and share with clients on market intelligence and practice 


CPT topic coverage: ​

  • Anti-bribery & Corruption (1 hour)

  • Financial Resources Requirements for Type 4 & Type 9 Licenced Corporations (2.5 hours)

  • Personal Data (Privacy) Ordinance (1 hour)

  • Professional Investors (1 hour)

  • Regulatory Requirements on Anti-money Laundering & Counter-financing of Terrorism for Type 1, 2 & 4 (2.5 hours)

  • Regulatory Requirements on Anti-money Laundering & Counter-financing of Terrorism for Type 9 (2.5 hours)

  • Suspicious Transactions Reporting (1.5 hours)

  • Suitability Obligations (2.5 hours)

  • The Management & Disclosures of Climate-related Risks by Fund Managers (1.5 hours)

  • The SFC Codes & Guidelines on Business Conduct for Wealth Management, Brokerage Firms, Discretionary Account Managers and Fund Managers (2.5 hours)

  • Understanding the Duties & Obligations of Manager-in-charge under the SFC (2.5 hours)