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The Hong Kong Institute of Chartered Secretaries Anti-Money Laundering and Counter-Terrorist Financing Charter HKICS AML/CFT Charter

1 INTRODUCTION ARTICLE

1 The Hong Kong Institute of Chartered Secretaries (HKICS), is an independent professional institute representing Chartered Secretaries who are governance professionals in Hong Kong and Mainland China.

HKICS is rooted with The Institute of Chartered Secretaries and Administrators (ICSA) in the United Kingdom with

9 divisions internationally and over 30,000 members and 10,000 students. It is also a Founder Member of the Corporate Secretaries International Association (CSIA), an international organisation comprising

16 national member organisations to promote good governance globally. ARTICLE

2 HKICS members as gatekeepers of good governance and part of the senior management team serve as trusted advisers to boards and decision makers. They uphold and discharge the highest standards of corporate governance, effective operations, compliance and administration along with various regulatory roles. For the purposes of the Anti-Money Laundering and Counter- Terrorist Financing (Financial Institutions) Ordinance (Cap 615) and associated guidelines, HKICS members may serve as suitable certifiers for corporate records. They may also, amongst their other regulatory rights and privileges, serve as company secretaries of listed issuers along with barristers, solicitors and certified public accountants. HKICS and its members as governance professionals have a role in promoting anti-money laundering and counter-terrorist financing (AML/CFT) best practices. PURPOSE OF CHARTER ARTICLE

3 HKICS has invited the founding subscribers (Founders) to subscribe to this HKICS AML/CFT Charter (Charter) and to seek HKICS'

s accreditation as HKICS AML/CFT Organisations as part of self- regulation of Corporate Service Providers (CSPs). This Charter shall subsequently be open for subscription by other subscribers willing to subscribe and to seek accreditation as HKICS AML/CFT Organisations as with the Founders. ARTICLE

4 By subscribing to this Charter, the accredited HKICS AML/CFT Organisations agree and undertake with HKICS to adhere to HKICS'

s overall object of promoting good governance, including as to AML/CFT best practices by (1) faithfully complying with this Charter and its related obligations, and (2) authorising and empowering HKICS to take all reasonable steps to achieve AML/CFT Self- Regulation amongst themselves. HKICS AML/CFT Charter

2 ARTICLE

5 All HKICS AML/CFT Organisations further agree and undertake with HKICS that for the duration it remains accredited as an HKICS AML/CFT Organisation it shall be obliged to (1) continually comply with this Charter and its related obligations, and (2) employ as a member of its senior management a '

fit and proper'

person as Responsible Person to ensure compliance by the HKICS AML/CFT Organisation with this Charter and its related obligations. ARTICLE

6 The Responsible Person may delegate day-to-day compliance of this Charter and its related obligations to competent personnel, including compliance officers, provided that the Responsible Person shall bear ultimate responsibility for ensuring compliance by the HKICS AML/CFT Organisation with this Charter and its related obligations. HKICS AML/CFT ORGANISATIONS ARTICLE

7 Any organisation with (1) substantial business interest as a CSP (2) willing to comply with this Charter and its related obligations, and to (3) designate a Responsible Person for the purposes of ensuring compliance with this Charter and its related obligations, may apply to HKICS to be admitted as an HKICS AML/CFT Organisation. ARTICLE