{"id":1133,"date":"2026-09-25T07:00:33","date_gmt":"2026-09-24T23:00:33","guid":{"rendered":"https:\/\/www.amlguidehk.com\/web\/tcsp-aml-internal-control-manual-guide\/"},"modified":"2026-09-25T07:00:33","modified_gmt":"2026-09-24T23:00:33","slug":"tcsp-aml-internal-control-manual-guide","status":"publish","type":"post","link":"https:\/\/www.amlguidehk.com\/web\/tcsp-aml-internal-control-manual-guide\/","title":{"rendered":"\u3010TCSP\u67e5\u724c\u5fc5\u5099\u3011\u4e09\u62db\u6574\u9813\u79d8\u66f8\u516c\u53f8 AML \u5167\u90e8\u76e3\u63a7\u624b\u518a\uff1a\u5982\u4f55\u7cbe\u6e96\u901a\u904e CR \u73fe\u5834\u5be9\u8a08\uff1f"},"content":{"rendered":"
\"\u4fe1\u8a17\u6216\u516c\u53f8\u670d\u52d9\u63d0\u4f9b\u8005\uff08TCSP\uff09\u512a\u5316\u53cd\u6d17\u9322\u5167\u90e8\u76e3\u63a7\u624b\u518a\u8207\u516c\u53f8\u8a3b\u518a\u8655\u67e5\u724c\u5be6\u52d9\"<\/figure>\n

\u5728\u9999\u6e2f\u5c08\u696d\u670d\u52d9\u8207\u53d7\u898f\u7ba1\u5546\u696d\u74b0\u5883\u4e2d\uff0c\u516c\u53f8\u79d8\u66f8\u53ca\u4fe1\u8a17\u670d\u52d9\u63d0\u4f9b\u8005 (TCSP \/ Company Secretaries)<\/strong> \u4f5c\u70ba\u53d7\u300a\u6253\u64ca\u6d17\u9322\u53ca\u6050\u6016\u5206\u5b50\u8cc7\u91d1\u7c4c\u96c6\u689d\u4f8b\u300b\uff08AMLO\uff0c\u9999\u6e2f\u6cd5\u4f8b\u7b2c615\u7ae0\uff09\u660e\u78ba\u7ba1\u8f44\u7684\u91cd\u9ede\u6a5f\u69cb\uff0c\u627f\u64d4\u8457\u9632\u7bc4\u6d17\u9322\u53ca\u6050\u6016\u5206\u5b50\u8cc7\u91d1\u7c4c\u96c6\u7684\u6cd5\u5b9a\u524d\u7dda\u8cac\u4efb\uff0c\u4e26\u53d7\u5230\u516c\u53f8\u8a3b\u518a\u8655 (Companies Registry, CR)<\/strong>\u7684\u56b4\u683c\u76e3\u5bdf\u3002<\/p>\n

\u8a31\u591a\u4fe1\u8a17\u53ca\u516c\u53f8\u670d\u52d9\u63d0\u4f9b\u8005\uff08TCSP\uff09\u6301\u724c\u4eba\u96d6\u5099\u6709\u53cd\u6d17\u9322\u653f\u7b56\u8207\u7a0b\u5e8f\u624b\u518a\uff08AML\/CFT Policy & Procedures Manual\uff09\uff0c\u4f46\u5e38\u56e0\u76f4\u63a5\u5957\u7528\u7bc4\u672c\u800c\u672a\u5207\u5408\u516c\u53f8\u81ea\u8eab\u98a8\u96aa\u72c0\u6cc1\uff0c\u5728\u516c\u53f8\u8a3b\u518a\u8655\uff08CR\uff09\u67e5\u724c\u6642\u88ab\u5224\u5b9a\u5167\u90e8\u76e3\u63a7\u5931\u6548\u3002<\/p>\n

\n

\u4e00\u3001 \u6838\u5fc3\u5408\u898f\u6392\u67e5\u91cd\u9ede\u8207\u5e38\u898b\u9055\u898f\u76f2\u9ede<\/h2>\n

1. \u624b\u518a\u8207\u5be6\u969b\u71df\u904b\u812b\u7bc0 (Off-the-shelf Template Syndrome)<\/h3>\n

\u76f4\u63a5\u8907\u88fd\u4e92\u806f\u7db2\u7bc4\u672c\uff0c\u5167\u5bb9\u5217\u51fa\u7e41\u7463\u4f46\u516c\u53f8\u524d\u7dda\u5b8c\u5168\u6c92\u6709\u57f7\u884c\u7684\u5be9\u67e5\u6b65\u9a5f\u3002\u67e5\u724c\u5b98\u54e1\u82e5\u767c\u73fe\u624b\u518a\u898f\u5b9a\u8207\u524d\u7dda\u54e1\u5de5\u53e3\u5f91\u4e0d\u4e00\uff0c\u6703\u76f4\u63a5\u8996\u70ba\u7ba1\u6cbb\u5931\u8077\u3002<\/p>\n

2. \u7f3a\u4e4f\u4ee5\u98a8\u96aa\u70ba\u672c\uff08Risk-based Approach, RBA\uff09\u7684\u5177\u9ad4\u8a55\u7d1a\u6307\u6a19<\/h3>\n

\u624b\u518a\u672a\u6e05\u6670\u5b9a\u7fa9\u4f55\u8b02\u300c\u4f4e\u98a8\u96aa\u300d\u3001\u300c\u4e2d\u98a8\u96aa\u300d\u53ca\u300c\u9ad8\u98a8\u96aa\u300d\u5ba2\u6236\uff0c\u5c0e\u81f4\u6240\u6709\u5ba2\u6236\u63a1\u7528\u76f8\u540c\u5be9\u67e5\u6a19\u6e96\uff0c\u7121\u6cd5\u5206\u914d\u8cc7\u6e90\u8655\u7406\u9ad8\u98a8\u96aa\u500b\u6848\u3002<\/p>\n

3. \u6d17\u9322\u9632\u5236\u4e3b\u4efb\uff08MLRO\uff09\u53ca\u5408\u898f\u4e3b\u4efb\uff08CO\uff09\u8077\u8cac\u672a\u843d\u5be6<\/h3>\n

\u6cd5\u4f8b\u8981\u6c42\u8a2d\u7acb\u5177\u8db3\u5920\u6b0a\u9650\u7684\u6d17\u9322\u9632\u5236\u4e3b\u4efb\uff08Money Laundering Reporting Officer, MLRO\uff09\u4ee5\u5448\u5831\u53ef\u7591\u4ea4\u6613\u5831\u544a\uff08STR\uff09\u3002\u624b\u518a\u672a\u660e\u78ba\u6388\u6b0a\u5176\u7368\u7acb\u8abf\u67e5\u6b0a\u529b\uff0c\u5c6c\u65bc\u56b4\u91cd\u5236\u5ea6\u7f3a\u9677\u3002<\/p>\n

4. \u7f3a\u4e4f\u5b9a\u671f\u7368\u7acb\u5be9\u67e5\uff08Independent Audit\uff09\u6a5f\u5236<\/h3>\n

\u6a5f\u69cb\u672a\u6709\u5b9a\u671f\u7531\u5408\u898f\u5c08\u696d\u4eba\u58eb\u6216\u5916\u90e8\u7b2c\u4e09\u65b9\u5c0d AML \u9ad4\u7cfb\u4e4b\u6709\u6548\u6027\u9032\u884c\u5ba2\u89c0\u8a55\u4f30\uff0c\u96e3\u4ee5\u8b49\u660e\u5167\u90e8\u63a7\u5236\u5177\u5099\u81ea\u6211\u7cfe\u932f\u80fd\u529b\u3002<\/p>\n

\n

\u4e8c\u3001 \u907f\u514d\u88ab\u91d8\u724c\u8207\u53d7\u7f70\uff01\u76e3\u7ba1\u6a5f\u69cb\u67e5\u6838 SOP \u5be6\u7528\u5efa\u8b70<\/h2>\n
    \n
  • \u6839\u64da\u73fe\u6709\u5ba2\u6236\u7fa4\uff08\u5982\u8de8\u5883\u96fb\u5546\u3001\u96e2<\/strong> \u6839\u64da\u73fe\u6709\u5ba2\u6236\u7fa4\uff08\u5982\u8de8\u5883\u96fb\u5546\u3001\u96e2\u5cb8\u63a7\u80a1\u3001\u672c\u5730\u5be6\u9ad4\uff09\u5ea6\u8eab\u8a02\u9020\u5c08\u5c6c\u98a8\u96aa\u8a55\u7d1a\u77e9\u9663\uff08Risk Matrix\uff09\u3002<\/li>\n
  • \u660e\u6587\u5217\u51fa\u54e1\u5de5\u8b58\u5225\u300c\u7d05\u65d7\u8b66\u865f\uff08R<\/strong> \u660e\u6587\u5217\u51fa\u54e1\u5de5\u8b58\u5225\u300c\u7d05\u65d7\u8b66\u865f\uff08Red Flags\uff09\u300d\u5f8c\u7684\u5167\u90e8\u901a\u5831\u5c64\u7d1a\u8207\u6642\u9650\u3002<\/li>\n
  • \u6bcf\u5e74\u5b89\u6392\u5408\u898f\u4eba\u54e1\u53c3\u52a0\u81f3\u5c11\u6307\u5b9a\u6642<\/strong> \u6bcf\u5e74\u5b89\u6392\u5408\u898f\u4eba\u54e1\u53c3\u52a0\u81f3\u5c11\u6307\u5b9a\u6642\u6578\u4e4b\u6cd5\u5b9a\u53cd\u6d17\u9322\u6301\u7e8c\u5c08\u696d\u9032\u4fee\uff08CPD \/ AML Training\uff09\u3002<\/li>\n
  • \u5c0e\u5165 RegTech \u7cfb\u7d71\u81ea\u52d5<\/strong> \u5c0e\u5165 RegTech \u7cfb\u7d71\u81ea\u52d5\u5316\u7559\u5b58\u6240\u6709\u5408\u898f\u5be9\u6279\u65e5\u8a8c\uff0c\u78ba\u4fdd\u67e5\u724c\u5e95\u7a3f\u5b8c\u6574\u7121\u907a\u6f0f\u3002<\/li>\n<\/ul>\n
    \n

    \u4e09\u3001 \u5c08\u696d\u7d50\u8a9e\uff1a\u79d1\u6280\u8ce6\u80fd\u5efa\u7acb\u7121\u61c8\u53ef\u64ca\u7684 AML \u9632\u7dda<\/h2>\n

    \u9762\u5c0d\u9999\u6e2f\u5404\u5927\u76e3\u7ba1\u6a5f\u69cb\uff08\u5982\u516c\u53f8\u8a3b\u518a\u8655 CR\u3001\u9999\u6e2f\u6d77\u95dc C&ED\u3001\u4fdd\u76e3\u5c40 IA \u53ca\u6703\u8a08\u53ca\u8ca1\u52d9\u532f\u5831\u5c40 AFRC\uff09\u65e5\u76ca\u5e38\u614b\u5316\u7684\u73fe\u5834\u5be9\u8a08\u8207\u7d00\u5f8b\u8655\u5206\u884c\u52d5\uff0c\u4f9d\u9760\u50b3\u7d71\u4eba\u5de5\u7d19\u672c\u5b58\u6a94\u8207\u8089\u773c\u5be9\u67e5\u5df2\u7121\u6cd5\u62b5\u79a6\u4eba\u70ba\u758f\u5ffd\u98a8\u96aa\u3002\u696d\u754c\u61c9\u7a4d\u6975\u5584\u7528\u5148\u9032\u7684\u76e3\u7ba1\u79d1\u6280\uff08RegTech\uff09\uff0c\u4f8b\u5982 Cloudian\u2122 AML Portal \u6253\u64ca\u6d17\u9322\u7cfb\u7d71<\/strong>\uff0c\u4e00\u7ad9\u5f0f\u5be6\u73fe\u81ea\u52d5\u5316\u8a8d\u8b58\u5ba2\u6236\uff08KYC\uff09\u3001\u5be6\u76ca\u64c1\u6709\u4eba\uff08BO\uff09\u7a7f\u900f\u6838\u67e5\u3001\u570b\u969b\u5236\u88c1\u53ca PEP \u5373\u6642\u540d\u55ae\u7be9\u67e5\u3001\u4ee5\u53ca\u7b26\u5408\u6cd5\u898f\u6a19\u6e96\u7684\u96fb\u5b50\u5be9\u6838\u5e95\u7a3f\uff08Audit Trail\uff09\uff0c\u5168\u9762\u4fdd\u8b77\u6a5f\u69cb\u724c\u7167\u8207\u5546\u696d\u8aa0\u8b7d\uff01<\/p>\n","protected":false},"excerpt":{"rendered":"

    \u5728\u9999\u6e2f\u5c08\u696d\u670d\u52d9\u8207\u53d7\u898f\u7ba1\u5546\u696d\u74b0\u5883\u4e2d\uff0c\u516c\u53f8\u79d8\u66f8\u53ca\u4fe1\u8a17\u670d\u52d9\u63d0\u4f9b\u8005 (TCSP \/ Company Secretari […]<\/p>\n","protected":false},"author":1,"featured_media":1132,"comment_status":"","ping_status":"open","sticky":false,"template":"","format":"standard","meta":{"_yoast_wpseo_focuskw":"","_yoast_wpseo_title":"","_yoast_wpseo_metadesc":"","fifu_image_url":"","fifu_image_alt":"","footnotes":""},"categories":[1],"tags":[70,127,85,134,117],"class_list":{"0":"post-1133","1":"post","2":"type-post","3":"status-publish","4":"format-standard","5":"has-post-thumbnail","6":"hentry","7":"category-post","8":"tag-aml","9":"tag-aml-","12":"tag-cr"},"yoast_head":"\n\u3010TCSP\u67e5\u724c\u5fc5\u5099\u3011\u4e09\u62db\u6574\u9813\u79d8\u66f8\u516c\u53f8 AML \u5167\u90e8\u76e3\u63a7\u624b\u518a\uff1a\u5982\u4f55\u7cbe\u6e96\u901a\u904e CR \u73fe\u5834\u5be9\u8a08\uff1f - 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