Financial Crime: A Compliance Manual

Law › Banking / Finance

Financial Crime: A Compliance Manual

By Rebecca Atkinson
Law Society Publishing September 2021

Specifications

ISBN-13
9781784461782
Publisher
Law Society Publishing
Publication
September 2021
Format
Paperback
Jurisdiction
U.K. ? Countri(es) for reference only

Details

Complying with financial crime legislation and regulation can be daunting and, if not done correctly, ineffective and costly. This book sets out the relevant legislation and regulations, alongside practical guidance on how to embed the requirements in your firm. Sample policies, procedures, guidance and risk registers help with their effective implementation.

Key topics covered include:

  • anti-bribery and corruption
  • anti-money laundering and terrorist financing regulations
  • Criminal Finances Act and tax evasion
  • responding to a financial crime investigation
  • sanctions, and
  • whistleblowing

Written for all law firms and in-house legal teams, this book is designed to assist those responsible for risk and compliance in understanding their obligations in relation to financial crime compliance in a straightforward, practical way.

Table of Contents

1. Anti-bribery and corruption
2. Anti-money laundering: legislation and regulation
3. Anti-money laundering: risk assessment and internal controls
4. Anti-money laundering: client due diligence
5. Anti-money laundering: guidance, reviews, visits, regulations and compliance
6. Criminal Finances Act 2017 and tax evasion
7. Responding to a criminal investigation
8. Sanctions
9. Whistleblowing and reporting concerns
Appendix

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