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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
- SEC Charges Smith and Nephew PLC with Foreign Bribery
- Memorandum of understanding between the Financial Services Authority and the Institute and Faculty of Actuaries [application/pdf]
- Delivering ?twin peaks? within the FSA
- Delivering a twin peaks regulatory model within the FSA
- SEC Names Jeanette M. Franzel to the Public Company Accounting Oversight Board
UK: FSA
- Memorandum of understanding between the Financial Services Authority and the Institute and Faculty of Actuaries [application/pdf]
- Delivering ?twin peaks? within the FSA
- Delivering a twin peaks regulatory model within the FSA
- FSA review into sale and rent back finds widespread poor practice and sees market temporarily closed
- FSA Statement relating to commencement of Enforcement action against UBS AG
USA: SEC
- SEC Charges Smith and Nephew PLC with Foreign Bribery
- SEC Names Jeanette M. Franzel to the Public Company Accounting Oversight Board
- SEC Charges Former Credit Suisse Investment Bankers in Subprime Bond Pricing Scheme During Credit Crisis
- SEC Charges Brothers With Short Selling Violations
- SEC Charges Former Executives and Accountants With Fraud at British Subsidiary of Medical Devices Company