Money Laundering: Business Compliance is a timely and user-friendly manual that shows you how to comply fully and effectively with the Money Laundering Regulations 2003. In the drive to halt funding terrorist activity, control of money laundering activity has risen high on the government’s agenda. The Money Laundering Regulations 2003 expand the regulator’s already wide powers. Failure to comply with anti-money laundering provisions prevents businesses functioning properly, carries severe financial penalties and can result in serious criminal sanctions. Using flowcharts, diagrams, checklists and bullet points, this book explains how you can spot activities that must be reported. It alerts you to when and how you must report and to do so within minimum business interruption; demonstrates how to ensure compliance with the regulatory framework; gives details on correct training procedures; tells you how to avoid falling foul of the stringent rules against tipping off; and arms you with the knowledge to avoid the pitfalls. With its uniquely practical approach and hands-on guidance, the book should be the first port of call for all those wanting to understand the regulations and the guidance notes. This book is essential reading for MLROs, directors, compliance officers, risk officers, finance directors and accountants, company secretaries and all those within the regulated sector.

Money Laundering: business compliance

Business & Money

Foster, Caroline

Bazley, Stuart

Finance

Butterworth-Heinemann

Market Abuse and Insider Dealing

Alexander, Kern

Bryant, Jeffrey

Rider, Barry

Business

Bloomsbury Professional

Market Abuse and Insider Dealing, 3rd edition provides a comprehensive exposition of the law of insider dealing and market abuse, including analysis of the interplay between UK Criminal law and Administrative law regulation of abusive behaviour in the UK financial markets.The title covers areas including:Insider dealing - the civil law;The main offences for insider dealing;Market abuse - regulatory discipline and the civil law;Fraud offences as they relate to market abuse;Money laundering and market abuse;Conflicts of interest;The liability of issuers of securities in respect of disclosure and inside information;Information gathering, market surveillance, investigations and enforcement;Compliance systems and controls and control liability.Includes the following legislation and case law:Financial Services Act 2012;New Financial Conduct Authority;New EU Market Abuse Regulation;MiFID II (Markets in Financial Instruments Directive).

Previously entitled Risk-Based Compliance, this unique guide to the role of risk-based Financial Services Authority (FSA) regulation compliance in the UK financial services industry has been fully updated and comprehensively rewritten. Focusing on the latest due diligence mechanisms, this specialist guide ensures financial services organizations can accurately and confidently comply with their legal responsibilities. The advice and information includes: operating a risk-based approach to regulation, FSA supervision of regulated firms, financial services and markets tribunals, the EU's Financial Services Action Plan, and the FSA Tribunal decisions.

Financial Services Authority Regulation and Risk-Based Compliance

Haynes, Andrew

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