SentroWeb® AML Solutions
Special Offer for DFHK Members

Special Offers to DFHK Members!

Under the latest Hong Kong registration regime, Dealers in Precious Metals and Stones (DPMS) under Category B are required to implement internal AML Policies, Procedures and Controls (also known as the “AML/CTF Systems” or “Manual”, APPC), in accordance with Anti-Money Laundering and Counter-Terrorist Financing Ordinance (AMLO).

To assist you in fast track the development of APPC documents, we provide a customizable APPC template for DPMS sectors.

The templates are delivered in Microsoft Word/ Excel format, and are almost 90% complete for your company to use. With these templates and training, you can adjust and customize to your company’s requirements, and comply with the AML/CFT regulatory requirements.

Contents of APPC Template:

1. INTRODUCTION
2. POLICY STATEMENT
3. MANAGEMENT OVERSIGHT
4. RISK ASSESSMENT
5. CUSTOMER DUE DILIGENCE (“CDD”)
6. ENHANCED CUSTOMER DUE DILIGENCE
7. RECORD KEEPING
8. ON-GOING MONITORING
9. REPORTING A SUSPICIOUS TRANSACTION
10. AUDIT AND COMPLIANCE
11. HIRING OF NEW STAFF AND TRAINING
APPENDIX A. AML/CFT ROLES & RESPONSIBILITIES
APPENDIX B. RISK ASSESSMENT
APPENDIX C. INDICATORS OF SUSPICIOUS TRANSACTIONS

Customer Due Diligence Forms:

Form 1 Customer Information
Form 2 Client’s Particulars (Individual or Entity)
Form 3 Politically Exposed Person Information
Form 4 Risk Assessment