Subject to Inquiry

THE LATEST ON GOVERNMENT INQUIRIES AND ENFORCEMENT ACTIONS

Tag Archives: “asset managers”

Anti-Bribery and Corruption, Anti-Money Laundering, Compliance, Enforcement and Prosecution Policy and Trends, Financial Institution Regulation December 13, 2013

Financial Conduct Authority publishes Thematic Review of Asset Management Firms Anti-Money Laundering and Anti-Bribery Controls

The report, which is not very long, is well worth a read. Lessons can be learnt for all sectors and all parts of the economy as the observations made are pertinent to every business.… Continue Reading

Anti-Bribery and Corruption, Anti-Money Laundering, Compliance, Enforcement and Prosecution Policy and Trends, Financial Institution Regulation January 24, 2013

The Financial Services Authority continues its thematic reviews into anticorruption compliance – now it is the turn of asset managers

So far, since the Bribery Act came into force on 1st July 2011, the largest fines have been dished out by the FSA, which regulates the financial services sector in the UK, rather than by the courts… Continue Reading

We use cookies to enhance your experience of our website. By continuing to use this website, you agree to the use of these cookies. For more information and to learn how you can change your cookie settings, please see our policy.

Agree