Webinar: Updates on Anti-Money Laundering Enforcement Actions Taken Against Financial Institutions
Event Code : 20220428


Anti-money laundering (AML) has always been on the top of Hong Kong regulators’ agenda. Recently, there were a number of disciplinary actions taken by the Hong Kong Monetary Authority, the Securities and Futures Commission and the Insurance Authority against financial institutions which contravened their AML requirements.  In this Webinar, the speaker will discuss some of the latest enforcement actions, as well as the lessons learned for players in the financial services industry.


Mr Ernest YIU, Managing Director, Financial Services, Mazars Hong Kong.

Ernest is the Head of Financial Services for Mazars Hong Kong. He has over 25 years of experience in the financial services industry with a special focus on regulatory compliance. Prior to joining Mazars in 2020, Ernest was one of the leaders in the regulatory consulting practices in EY HK and PwC HK, providing regulatory advisory services to the financial services sector in HK. He has advised numerous financial institutions covering a wide range of risk/regulatory topics including anti-money laundering, corporate governance, client asset protection, investment product suitability, risk management framework, pre-regulatory inspection preparation work and independent regulatory assessments driven by regulators. Ernest is a frequent speaker on risk, regulatory and compliance topics for the financial services sector. He is a member of the AICPA and he holds a Master degree in Professional Accounting and a Bachelor degree in Business Administration from the University of Texas at Austin, U.S.A.

CPD Hours:
1.0 Hours
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