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SFC routine inspection update

AML Self-Assessments: On 21 December 2012, the SFC posted a new “AML/CFT Self-Assessment Checklist” on its website. This is designed to help SFC licensees assess their compliance with the key AML/CFT requirements. The checklist follows the order of contents of the SFC's Guideline on Anti-Money Laundering and Counter-Terrorist Financing. This means it covers all the key AML obligations including customer due diligence, ongoing monitoring, suspicious transaction reporting and record-keeping. Although it is basically a simple reproduction of the key requirements under the Guideline, the checklist is still a helpful tool for identifying potential areas of non-compliance and documenting remedial steps taken. The SFC expects licensees to review their AML/CFT systems and procedures on a regular basis so it is important that when the SFC asks for documentary evidence of such reviews during a routine inspection, licensees can provide a completed Self-Assessment Checklist.

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