Guidelines

Last Revised Date: 30 November 2015

Guidelines to Notice FAA-N06 on Prevention of Money Laundering and Countering the Financing of Terrorism

Guidelines for financial advisers on the requirements in Notice FAA-N06 for the prevention of money laundering and countering the financing of terrorism.

AML/CFT

Applies to: Licensed Financial Adviser , Exempt Financial Adviser , Exempt Financial Adviser Serving up to 30 Accredited Investors

View Document Guidelines to Notice FAA-N06 on Prevention of Money Laundering and Countering the Financing of Terrorism (299.8 KB)

These guidelines apply to all financial advisers. They provide financial advisers with guidance on the requirements in Notice FAA-N06 on Prevention of Money Laundering and Countering the Financing of Terrorism – Financial Advisers.

These guidelines should be read in conjunction with Notice FAA-N06.

24 Apr 2015: Previous version dated 24 April 2015 (500.6 KB) [Cancelled]
02 Dec 2009: Previous version dated 02 December 2009 (145.6 KB) [Cancelled]