Supervisory and Investigative Powers under Hong Kong's AML/CFT Ordinance
Part 3 of the Anti-Money Laundering and Counter-Terrorist Financing Ordinance
What you'll learn
- Understand the supervisory and investigative powers under Part 3 of the AML/CFT Ordinance
- Identify key defined terms including Prescribed Persons, Authorized Persons, and Investigators
- Analyse routine inspection powers under Section 9 for different categories of regulated entities
- Understand investigation offences and penalties for non-compliance
- Appreciate international regulatory cooperation frameworks for virtual assets
About this course
Part 3 of the Anti-Money Laundering and Counter-Terrorist Financing Ordinance establishes a comprehensive framework for regulatory supervision and investigative powers. This statutory framework empowers relevant authorities to conduct inspections, access business records, and investigate potential violations across Hong Kong's financial services sector, including emerging virtual asset service providers.
Curriculum · 31 lessons
- 1.
Supervisory and Investigative Powers under Hong Kong's AML/CFT Ordinance
FREE2:14 - 2.
Structure Overview
2:03 - 3.
Division 1: Preliminary Provisions
2:05 - 4.
Key Defined Terms
2:05 - 5.
Categories of Prescribed Persons
1:44 - 6.
Prescribed Requirements Framework
0:23 - 7.
Quiz: Supervisory and Investigative Powers under Hong Kong's AML/CFT Ordinance – Prescribed Requirements Framework
QUIZ5 questions · requires lessons - 8.
Division 2: Powers to Enter, Inspect and Investigate
2:01 - 9.
Section 9: Routine Inspection Powers
2:05 - 10.
Inspection Powers: Non-Part 5B Entities
1:56 - 11.
Enhanced Powers: Virtual Asset Service Providers
1:58 - 12.
Document Production Requirements
2:05 - 13.
Statutory Declaration Requirements
2:02 - 14.
Quiz: Division 2: Powers to Enter, Inspect and Investigate – Statutory Declaration Requirements
QUIZ5 questions · requires lessons - 15.
Authorization and Identification Procedures
2:02 - 16.
Business Premises Definition
2:02 - 17.
Section 9A: Inter-Authority Coordination
2:03 - 18.
Section 10: Offences for Non-Compliance
1:50 - 19.
Related Person Liability
1:56 - 20.
Section 11: Appointment of Investigators
2:03 - 21.
Quiz: Authorization and Identification Procedures – Section 11: Appointment of Investigators
QUIZ5 questions · requires lessons - 22.
Investigator Categories and Appointment
1:50 - 23.
Section 12: Investigator Powers
1:57 - 24.
Covered Persons Under Investigation
1:55 - 25.
Explanations and Statutory Declarations
2:02 - 26.
Investigation Reporting Requirements
1:57 - 27.
Section 12A: Customer Information Protection
1:53 - 28.
Quiz: Investigator Categories and Appointment – Section 12A: Customer Information Protection
QUIZ5 questions · requires lessons - 29.
Section 13: Investigation Offences
1:56 - 30.
Division 3: Regulatory Assistance for Virtual Assets
1:57 - 31.
Section 13B: International Enforcement Cooperation
1:53 - 32.
Incriminating Evidence Protections
1:55 - 33.
Section 13C: International Supervisory Cooperation
1:56 - 34.
Supervisory Assistance Safeguards and Conclusion
1:53 - 35.
Quiz: Section 13: Investigation Offences – Supervisory Assistance Safeguards and Conclusion
QUIZ5 questions · requires lessons - 36.
Concluding Remarks and Key Takeaways
2:19.5
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