Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Counter-Terrorist Financing
(1) United Nations (Anti-Terrorism Measures) Ordinance
(2) United Nations Sanctions (Afghanistan) Regulation 2012

3 Mar 2017



Circular to Licensed Corporations and Associated Entities 

Anti-Money Laundering / Counter-Terrorist Financing

(1)  United Nations (Anti-Terrorism Measures) Ordinance 

(2)  United Nations Sanctions (Afghanistan) Regulation 2012 

(1)  United Nations (Anti-Terrorism Measures) Ordinance 

Further to our circular issued on 17 February 2017, an updated list specifying terrorists and terrorist associates designated by the United Nations Security Council (“UNSC”) was published under section 4 of the United Nations (Anti-Terrorism Measures) Ordinance (“the UNATMO”) (Cap. 575) in the Gazette on 3 March 2017 (G.N. 1085 of 2017).  Two relevant press releases issued by the UNSC, reflecting the updates since the previous list was published in the Gazette (G.N. 780 of 2017), are attached in Attachment 1.

The aforesaid list can be found on the Government’s website (http://www.gld.gov.hk/egazette/pdf/20172109/egn201721091085.pdf).

(2)  United Nations Sanctions (Afghanistan) Regulation 2012  

Further to our circular issued on 30 September 2016, an updated list specifying “relevant persons and entities” under section 29 of the United Nations Sanctions (Afghanistan) Regulation 2012 (Cap. 537AX) was published in the Gazette on 3 March 2017 (G.N. 1086 of 2017).

The aforesaid list can be found on the Government’s website (http://www.gld.gov.hk/egazette/pdf/20172109/egn201721091086.pdf).

Licensed corporations (“LCs”) and associated entities (“AEs”) should check the names in all of the above lists against their records, and report any transactions or relationships they have or have had with the named persons or entities to the Joint Financial Intelligence Unit.

Furthermore, LCs and AEs are reminded to refer to Chapter 6 of the Guideline on Anti-Money Laundering and Counter-Terrorist Financing (“AML Guideline”) which contains guidance on the appropriate measures that LCs and AEs should take to ensure compliance with the UNATMO and the regulations made under the United Nations Sanctions Ordinance Note 1.

Should you have any queries regarding the contents of this circular, please contact Ms Kiki Wong on 2231 1569.

Intermediaries Supervision Department
Intermediaries Division
Securities and Futures Commission

Enclosure

End

SFO/IS/007/2017

Note 1 Under paragraph 6 of the Prevention of Money Laundering and Terrorist Financing Guideline issued by the Securities and Futures Commission for Associated Entities, AEs that are not authorized financial institutions are expected to have regard to the provisions of the AML Guideline as if they were themselves LCs.


Click here to download the document

Supplementary document:
Attachment 1


Page last updated : 3 Mar 2017