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ARTICLE · 20 JULY 2011

FSA Financial Crime Guide

De Brauw Blackstone Westbroek
De Brauw Blackstone Westbroek
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De Brauw Blackstone Westbroek

De Brauw Blackstone Westbroek

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On 22 June 2011, the FSA issued a consultation paper on a (non-binding) new regulatory guide on financial crime.

NetherlandsCriminal Law
Marnix Somsen
Marnix Somsen
Patrick Ploeger
Patrick Ploeger
Roan Lamp
Roan Lamp
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On 22 June 2011, the FSA issued a consultation paper on a (non-binding) new regulatory guide on financial crime. The comprehensive guide is intended as a practical addition to the currently limited formal guidance issued by the FSA, and to help (UK) regulated entities better understand and meet their legal and regulatory obligations.

The guide contains, among other things, an overview of self-assessment questions and good and poor practices for regulated entities on: anti-money laundering, terrorist financing, fraud, data security, anti-bribery and corruption, sanctions and weapons proliferation financing. Also, the FSA shares it findings on the aforementioned subjects gathered during thematic reviews. This way, regulated entities can compare themselves against their peers' systems, controls, policies and procedures.

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