Anne-Marie Godfrey

Anne-Marie Godfrey

Akin Gump Strauss Hauer & Feld LLP

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SFC’s Concerns Over Licensees’ Anti-Money Laundering Internal Controls

Key Points - - The SFC Enforcement Division is investigating several SFC-licensed brokerages for suspected inadequate AML internal controls. - Reminder of SFC areas of concern. - SFC licensees...more

10/4/2016  /  Anti-Money Laundering , Brokers , Government Investigations , Hong Kong , Hong Kong Securities and Futures Commission (HKSFC) , Internal Controls
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