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AML & CFT

Supervisory and Investigative Powers under Hong Kong's AML/CFT Ordinance

How Hong Kong's relevant authorities inspect, investigate, and enforce under the AMLO — and what a financial institution is expected to do when they arrive.

Duration
1 hr
Level
Advanced
CPT hours
1
Format
Recorded seminar

Course overview

The Anti-Money Laundering and Counter-Terrorist Financing Ordinance (Cap. 615) does more than impose customer due diligence duties. It arms the relevant authorities with a substantial toolkit of supervisory and investigative powers, and it backs that toolkit with criminal and civil sanctions.

This course walks through Part 3 of the Ordinance in practical terms: the power to enter business premises and inspect records, to require the production of documents, to compel answers, and to appoint investigators. It sets out the thresholds each power depends on and the safeguards that attach to it.

It then covers the consequences — the offence provisions, the disciplinary regime, the penalties available, and the appeal route to the AML and CTF Review Tribunal — so compliance teams understand exactly what exposure looks like and how to prepare for an inspection before one is announced.

What you'll learn

  • Map the supervisory powers available to each relevant authority under the AMLO
  • Distinguish routine inspection from formal investigation and know what triggers each
  • Prepare an institution to respond to a regulator's production and information requests
  • Assess exposure under the AMLO's offence and disciplinary provisions
  • Understand the appeal route to the AML and CTF Review Tribunal

Course structure

  1. Part 1

    The supervisory framework

    Relevant authorities, the scope of their remit, and how supervision is allocated across the financial sector.

  2. Part 2

    Inspection powers

    Entry to business premises, record inspection, production requirements, and the safeguards that attach to each.

  3. Part 3

    Investigation

    When an investigation is opened, the appointment of investigators, compelled answers, and self-incrimination protections.

  4. Part 4

    Offences, penalties, and appeals

    The offence provisions, the disciplinary regime, available sanctions, and review by the AML and CTF Review Tribunal.

Key topics covered

Supervision

  • Relevant authorities and their remit
  • Risk-based supervisory approach
  • Routine inspection procedures
  • Record-keeping expectations

Investigation

  • Grounds for opening an investigation
  • Appointment and powers of investigators
  • Production and information notices
  • Compelled answers and legal privilege

Enforcement

  • Offence provisions under the Ordinance
  • Disciplinary powers and sanctions
  • Pecuniary penalties
  • Publication of disciplinary action

Review and appeal

  • The AML and CTF Review Tribunal
  • Grounds and timelines for review
  • Practical preparation for inspection

Who should attend

  • Money laundering reporting officers and their deputies
  • Compliance officers in banks and financial institutions
  • Internal audit and risk professionals
  • Legal counsel advising on regulatory investigations
  • Senior management with AML accountability

Assessment and certification

Once you have watched the seminar, a short multiple-choice assessment unlocks. Score 60% or higher and a Certificate of Attendance for 1 CPT hour is issued immediately, carrying a unique reference number.

The certificate resolves to a public verification page, so an employer or regulator can confirm it without contacting us. It also counts towards the CPT hours ledger on your dashboard.

See how verification works