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AML / CFT Training : Dealing with Politically Exposed Persons - 2011
Recent political upheaval has raised the issue of dealing with deposed or resigned long-term leaders.
What are the responsibilities of financial institutions with regard to those persons after they leave power?
And how does the position differ depending on whether they are made subject to financial sanctions?
Securities Industry News
Industry news
- Securities: Jail for scam that didn't put the wind up investors
- Securities: USA's SEC amends standard for "accredited investors"
- Securities: Former JP Morgan Chase employee pleads guilty to insider trading
- Enforcement: UK's FSA fines Integrated Financial for failures in recording client funds
- Enforcement: FinCen sanctions money transmitter Sarith Meas
Regulation and Compliance
- Enforcement: UK's FSA fines Integrated Financial for failures in recording client funds
- Enforcement: FinCen sanctions money transmitter Sarith Meas
- Compliance: The Role of Compliance and Ethics in Risk Management
- Regulation: Landbanking in the UK remains high risk for investors
- Enforcement: AUS bans former Citibank manager
Sanctions, FIs closed, FI Frauds
Regulators' News
- Former compliance officer at Greenlight Capital and JP Morgan Cazenove trader fined
- SEC Advisory Committee on Small And Emerging Companies to Meet Wednesday
- SEC Charges Boiler Room Operators in Florida-Based Penny Stock Manipulation Scheme
- SEC Charges Latvian Trader in Pervasive Brokerage Account Hijacking Scheme
- CP12/2: Amendments to the Listing Rules, Prospectus Rules, Disclosure Rules and Transparency Rules
UK: FSA
- Former compliance officer at Greenlight Capital and JP Morgan Cazenove trader fined
- CP12/2: Amendments to the Listing Rules, Prospectus Rules, Disclosure Rules and Transparency Rules
- Alexander Edward Ten-Holter [application/pdf]
- FSA consults on changes to the Listing Rules
- CP12/2: Amendments to the Listing Rules, Prospectus Rules,Disclosure Rules and Transparency Rules
USA: SEC
- SEC Advisory Committee on Small And Emerging Companies to Meet Wednesday
- SEC Charges Boiler Room Operators in Florida-Based Penny Stock Manipulation Scheme
- SEC Charges Latvian Trader in Pervasive Brokerage Account Hijacking Scheme
- Diamondback Capital Agrees to Settle SEC Insider Trading Charges
- Fee Rate Advisory #5 for Fiscal Year 2012