Contents
Site updated 30 Jul 2010
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Regulation (FSA, ML, HMT etc)
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- Money Laundering Regulations 2007
- Proceeds of Crime Act 2002
- Second Money Laundering Directive (2001/97/EEC)
- Third Money Laundering Directive (2005/60/EEC)
- BBA British Bankers' Association
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- SOCA The Serious Organised Crime Agency
- OECD Organisation for Economic Co-operation and Development
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- Bank of England
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- Insurance Company, Friendly Society, Pensions and Irish Regulations
- Former Regulators
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- IMRO Investment Management Regulatory Organisation
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- LAUTRO Life Assurance and Unit Trust Regulatory Organisation
- FSA Handbook of Rules and Guidance
- Contents
- Glossary
- Rule-making instruments
- Approved Persons Regime
- APER Statements of Principle and Code of Practice for Approved Persons
- FIT The Fit and Proper Test for Approved Persons
- SUP 10 Approved persons
- Approved Persons Regime Forms
- Approved Persons Regime - summary of forms and their use
- SUP 10.4 Specification of functions
- SUP 10.4.5 Table of Controlled functions
- FiSMA Part V Performance of regulated activities
- BCOBS Banking Conduct of Business
- BIPRU Prudential sourcebook for Banks, Building Societies and Investment Firms
- CASS Client Assets
- COAF Complaints against the FSA
- COBS New Conduct of Business sourcebook
- COLL New Collective Investment Schemes
- COMP Compensation
- COND Threshold Conditions
- CRED Credit Unions
- DEPP Decision Procedure and Penalties
- DISP Dispute resolution: Complaints
- DTR Disclosure Rules and Transparency Rules
- ELM Electronic Money
- FEES Fees Manual
- FIT The Fit and Proper Test for Approved Persons
- GEN General Provisions
- GENPRU General Prudential
- ICOBS Insurance: Conduct of Business
- INSPRU Prudential sourcebook for Insurers
- IPRU-BANK Interim Prudential sourcebook for Banks
- IPRU-BSOC Interim Prudential sourcebook for Building Societies
- IPRU-FSOC Interim Prudential sourcebook for Friendly Societies
- IPRU-INS Interim Prudential sourcebook for Insurance
- IPRU-INV Interim Prudential sourcebook for Investment Businesses
- LR Listing Rules
- MAR Market Conduct
- MCOB Mortgages: Conduct of Business
- MIPRU Prudential sourcebook for Mortgage and Home Finance Firms, and Insurance Intermediaries
- PR Prospectus Rules
- PRIN Principles for Businesses
- PROF Professional Firms
- RCB Regulated Covered Bonds
- REC Recognised Investment Exchanges and Recognised Clearing Houses
- SUP Supervision Manual
- SYSC Senior Management Arrangements, Systems and Controls
- TC Training and Competence
- UPRU Prudential sourcebook for UCITS Firms
- Special guides (not part of Handbook)
- Regulatory Guides
- Interim Permitted Persons
- Unauthorised mutuals registration fees rules
- BIPRU 13.3 Calculation of exposure values
- Unit Trusts & OEICs (incl IMA)
- IMA Investment Management Association
- IMA Circulars
- Funds-Axis
- BIPRU Prudential sourcebook for Banks, Building Societies and Investment Firms
- CASS Client Assets sourcebook
- CIS Collective Investment Schemes
- COBS 3.5 Professional clients
- COBS 3.6 Eligible counterparties
- COLL New Collective Investment Schemes
- COLL 5.2 General investment powers and limits for UCITS schemes
- COLL 6.2 Dealing
- COLL 6.3 Valuation and pricing
- COLL 6.8 Income: accounting, allocation and distribution
- Eligible Assets Directive
- FSA Asset Management Newsletters
- IPRU-INV Interim Prudential Sourcebook: Investment Business
- OEIC Regulations 2001
- SORP for authorised funds
- UCITS Directive
- UCITS Section V Obligations re investment policies
- UPRU Prudential sourcebook for UCITS Firms
- ISAs, PEPs & CTFs (incl TISA)
- Legislation (Acts & SIs)
- FiSMA Financial Services and Markets Act 2000
- FiSMA 2000 Schedule 2 Regulated Activities
- Statutes (Acts)
- Statutes Listing
- Bank of England Act 1998
- Child Trust Funds Act 2004
- Companies Act 1985
- Companies Act 1989
- Companies Act 2006
- Criminal Justice Act 1993
- Data Protection Act 1998
- Electronic Communications Act 2000
- Enterprise Act 2002
- FiSMA Financial Services and Markets Act 2000
- Income and Corporation Taxes Act 1988
- Income Tax Act 2007
- Insolvency Act 1986
- Investment Exchanges and Clearing Houses Act 2006
- Land Registration Act 2002
- Law of Property Act 1925
- Limited Liability Partnerships Act 2000
- Powers of Attorney Act 1971
- Proceeds of Crime Act 2002
- Regulation of Financial Services (Land Transactions) Act 2005
- Sarbanes-Oxley Act of 2002
- Serious Organised Crime and Police Act 2005
- Taxation of Chargeable Gains Act 1992
- Terrorism Act 2000
- Terrorism Act 2006
- Trustee Act 1925
- Trustee Act 2000
- Trustee Investments Act 1961
- Trusts of Land and Appointment of Trustees Act 1996
- Unit Trust Records Regulations 1946
- Welfare Reform and Pensions Act 1999
- Statutory Instruments (SIs)
- Regulated Activities Order (SI 2001/544)
- Trustee Act 2000
- Proceeds of Crime Act 2002
- Data Protection Act 1998
- Case Law - BAILII
- Europe
- Europe
- EC Press Releases
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- European Directives
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- Banking Consolidation (Credit Institutions)
- CRD Capital Requirements
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- CESR Committee of European Securities Regulators
- CEBS Committee of European Banking Supervisors
- CEIOPS Committee of European Insurance and Occupational Pensions Supervisors
- OECD Organisation for Economic Co-operation and Development
- Insurance
- FSA Handbook of Rules and Guidance
- COBS New Conduct of Business sourcebook
- GENPRU General Prudential sourcebook
- ICOBS Insurance: Conduct of Business
- INSPRU Prudential sourcebook for Insurers
- IPRU(FSOC) Interim Prudential sourcebook for Friendly Societies
- IPRU(INS) Interim Prudential Sourcebook: Insurers
- MIPRU Prudential sourcebook for Mortgage and Home Finance Firms, and Insurance Intermediaries
- Unauthorised mutuals registration fees rules
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- Income and Corporation Taxes Act 1988 (Extracts from)
- Income Tax Act 2007
- ISAs, PEPs & CTFs
- Offshore funds that have applied for and been granted UK distributor status
- Press Releases
- Publications
- Recognised Stock Exchanges
- RPI - Retail Prices Index
- Shares of Negligible Value
- Stamp Office
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- UK Listing
- LR Listing Rules
- PR Prospectus Rules
- DTR Disclosure Rules and Transparency Rules
- UKLA UK Listing Authority
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- Market Watch Newsletters
- London Stock Exchange
- London Stock Exchange Notices
- Rules of the London Stock Exchange
- City Code on Takeovers and Mergers
- Panel on Takeovers and Mergers
- Trustees & Depositaries
- Accounting and Other items
- Accounting
- ACCA Financial Services Network Programme
- Reporting Standards
- IMA SORP Financial Statements of Authorised Funds
- SORPs Statements of Recommended Practice
- ASB UK Accounting Standards
- IASC International Accounting Standards
- SORP for Financial Statements of Investment Trust Companies
- PricewaterhouseCoopers: news releases
- Manual Watch List Checking
- Charity Commissioners
- Pension Fund Pooling Vehicles
- Association of Investment Trust Companies
- 3d JMLSG Anti Money Laundering Guidance
- Anti Money Laundering
- Manual Watch List Checking
- Money Laundering Guidance Notes
- Money Laundering Regulations
- Proceeds of Crime Act 2002
- 2nd Money Laundering Directive (2001/97/EEC)
- 3rd Money Laundering Directive (2005/60/EEC)
- FATF Financial Action Task Force
- SOCA The Serious Organised Crime Agency
- JMLSG Joint Money Laundering Steering Group
- Terrorism Act 2000
- ML Regulations - Versions held within 3d
- Terrorism Act 2006
- ML Guidance - Versions held within 3d
- European ML Directives - Versions held within 3d
- Anti-terrorism, Crime and Security Act 2001
- Counter-Terrorism Act 2008
- 3d Irish
- Abbreviations
- Additional 3d products
- Latest News
- Training
© 3d Investments Ltd 2010
Latest JMLSG additions
Click to see a focussed list of the items on 3d issued recently by the following:
CESR,
Europe,
FSA,
FSA Handbook,
HM Revenue & Customs,
Statutory Instruments,
IMA,
TISA
- HMRC: Money Laundering Regulations – New Anti money laundering guidance (added 21Jul10)
- Guernsey Financial Services Commission: Business from Sensitive Sources Notice 10 for Financial Services Businesses and Notice 8 for Prescribed Businesses (added 20Jul10)
- HM Treasury Statement on Money Laundering controls in Overseas Jurisdictions (added 13Jul10)
- FSA Financial Crime Newsletter Issue No.14 July 2010 (added 8Jul10)
- FATF Plenary meeting: FATF Chairman's Summary, Amsterdam, 23-25 June 2010 (added 1Jul10)
- FATF Statement: Improving Global AML/CFT Compliance: On-Going Process (added 29Jun10)
- FATF Public Statement (added 29Jun10)
- HMRC: Money Laundering Regulations: What are your fees used for? (added 22Jun10)
- Ireland: Financial Regulator: Anti-Money Laundering Industry Guidance Notes (added 22Jun10)
- Ireland: Financial Regulator: Anti-Money Laundering (added 22Jun10)
- Ireland: William Fry: The Position of Designated Bodies under the Criminal Justice (Money Laundering and Terrorist Financing) Act 2010 (added 21Jun10)
- European Commission Press Release IP/10/681 Financial Crime: Commission asks France to respect European laws on anti-money laundering (added 3Jun10)
- Ireland: William Fry: Introduction of the New Irish Anti-Money Laundering/Counter-Terrorist Financing Regime (added 2Jun10)
- FSA The Small Firms Financial Crime Review (added 24May10)
- Isle of Man FSC Press Release: Amendments to the Anti-Money Laundering and Countering the Financing of Terrorism Handbook (added 21May10)
- FSA Final Notice: Alpari (UK) Limited (added 5May10)
- FSA Final Notice: Sudipto Chattopadhyay (added 5May10)
- Court of Justice of the European Union Press Release 41/10: The Court interprets the directive on insider dealing (added 30Apr10)
- APB Press Notice 122 APB publishes Exposure Draft of revisions to its Practice Note on UK Anti-Money Laundering Legislation (added 30Apr10)
- Guernsey Financial Services Commission: Consultation Paper on Amendments to Regulatory and AML/CFT Legislation (added 27Apr10)
- Crime and Security Act 2010 - extracts from (added 13Apr10)
- Isle of Man FSC Press Release: Consultation on Replacement AML Code - F.S.C Public Notice (added 12Apr10)
- FATF Money Laundering vulnerabilities of Free Trade Zones (added 7Apr10)
- FATF Mutual Evaluation of Germany (added 7Apr10)
- FATF Mutual Evaluation of Luxembourg (added 7Apr10)
- HMRC: Important information for Money Service Businesses, High Value Dealers, Trust or Company Service Providers and Accountancy Service Providers who have failed to apply for Money Laundering Regulations Registration (added 6Apr10)
- HM Treasury Press Notice 26/10 Consultation on terrorist asset freezing (added 18Mar10)
- HM Treasury Press Notice 24/10 Statement on Money Laundering controls in Overseas Jurisdictions (added 16Mar10)
- Isle of Man FSC Press Release: Anti-Money Laundering and Countering the Financing of Terrorism Handbook (added 11Mar10)
- Isle of Man FSC Press Release: Review of Authorised Collective Investment Schemes Regulations (added 11Mar10)
- FATF Interim follow-up report to the Mutual Evaluation of Greece (added 7Mar10)
- Statutory Instrument 2010/0611 The Terrorism Act 2000 (Proscribed Organisations) (Amendment) Order 2010 (added 4Mar10)
- FATF Chairman's Summary at first joint FATF-MENAFATF Plenary meeting held in Abu Dhabi (added 25Feb10)
- Jersey Financial Services Commission Press Release: Consultation Paper on Banking: Financial Reporting and Disclosures (added 19Feb10)
- Jersey Financial Services Commission Press Release: Consultation Paper on proposals for Annual Fees to be paid by Designated Non-Financial Businesses and Professions (added 19Feb10)
- Bribery Bill: Explanatory notes (added 19Feb10)
- FATF Public Statement in response to the G20 call to identify jurisdictions (added 18Feb10)
- European Commission awards contract for external study on the application of the Anti-Money Laundering Directive (added 11Feb10)
- Terrorist Asset-Freezing (Temporary Provisions) Act 2010 (added 10Feb10)
- HMRC News LON 05/10 £24 million money launderers jailed (added 9Feb10)
- Gibraltar Financial Services Commission Press Release: Cancellation of Licences (added 9Feb10)
- BAILII - Shah & Anor v HSBC - Held that a bank which makes authorised disclosure under POCA may have to prove its suspicions at trial (added 5Feb10)
- European Union Agreement between EU and USA on the processing and transfer of Financial Messaging Data from the EU to the US for purposes of the Terrorist Finance Tracking Program (added 26Jan10)
- Statutory Instrument 2010/0034 The Proscribed Organisations (Name Changes) Order 2010 (added 15Jan10)
- Guernsey Financial Services Commission: Commission issues a simplified overview of its AML/CFT framework (added 28Dec09)
- FATF Mutual Evaluation of Austria (added 16Dec09)
- FATF Fourth public statement of the MONEYVAL Committee in respect of Azerbaijan (added 16Dec09)
- JMLSG Amendments to 2007 Money Laundering Guidance Notes December 2009 (added 9Dec09)
- Office of Fair Trading: AML supervision FAQs (added 4Dec09)
- Wolfsberg Statement on AML Screening, Monitoring and Searching 2009 (added 30Nov09)
- JMLSG MLGN2007: Part I: Chapter 6 substantially updated (added 27Nov09)
- Fraud Act 2006 (added 21Nov09)
- FATF Follow Up Report to the Mutual Evaluation of the United Kingdom (added 12Nov09)
- HM Treasury Press Notice 103/09 Statement on money laundering controls in overseas jurisdictions (added 10Nov09)
- FATF Speech By FATF President: The need for enhanced transparency (added 5Nov09)
- FATF Briefing to the United Nations Security Council Committee (added 5Nov09)
- FATF Report: Money Laundering and Terrorist Financing in the Securities Sector (added 4Nov09)
- Bank of England: Financial Sanctions: Al Qaida and Taliban (added 3Nov09)
- Bank of England: Financial Sanctions: General Notice of Revocation of Article 4 (added 3Nov09)
- Isle of Man FSC Press Release: Amendments to the Anti-Money Laundering and Countering the Financing of Terrorism Handbook (added 2Nov09)
- FATF Report: Risk-Based Approach Guidance for the Life Insurance Sector (added 30Oct09)
- European Commission Press Release IP/09/1633 Financial services: Commission takes action against Spain (anti-money laundering), Estonia (statutory audit) and Luxembourg (market abuse) (added 30Oct09)
- FATF Mutual Evaluation Report – Executive Summary: Aruba, Kingdom of the Netherlands (added 29Oct09)
- Jersey Financial Services Commission Consultation on Sector Specific section of AML/CFT Handbook (added 16Oct09)
- FATF Chairman's Summary, FATF Plenary, Paris, 14-16 October 2009 (added 16Oct09)
- BAILII - Rollins and McInerney - Power to prosecute POCA offences by FSA is confirmed (added 15Oct09)
- FATF welcomes the Republic of Korea as a member (added 14Oct09)
- Bank of England: Financial Sanctions: General Notice of Revocation of Article 4 (added 14Oct09)
- Isle of Man FSC Press Release: Review of Financial Services Legislation (added 13Oct09)
- Statutory Instrument 2009/2725 The Financial Restrictions (Iran) Order 2009 (added 13Oct09)
- HM Treasury Press Notice 91/09 HM Treasury announces call for evidence, to inform Review of Money Laundering Regulations 2007 (added 9Oct09)
- FATF MONEYVAL statement on Azerbaijan (added 8Oct09)
- Isle of Man FSC Public Notice: Anti-Money Laundering and Countering the Financing of Terrorism Handbook (added 1Oct09)
- Bank of England: Financial Sanctions: Liberia (added 30Sep09)
- Bank of England: Financial Sanctions: General Notice of Revocation of Article 4 (added 30Sep09)
- Bank of England: Financial Sanctions: Al Qaida and Taliban (added 29Sep09)
- FSA Speech by Jon Pain: Restoring Confidence & Trust (added 25Sep09)
- Office of Fair Trading Press release 95/09: OFT launches anti-money laundering registration (added 25Sep09)
- Isle of Man FSC Press Release: IMF Report (added 24Sep09)
- JMLSG Proposed revision to Part II of their Guidance Notes for the UK Financial Sector (added 20Sep09)
- FSA Speech by Margaret Cole: Setting out the FSA's strategy and approach to fighting fraud (added 15Sep09)
- FSA Financial Crime Newsletter Issue No.13 September 2009 (added 14Sep09)
- Jersey Financial Services Commission: Amendment to Money Laundering Order (added 9Sep09)
- Bank of England: Financial Sanctions: General Notice of Revocation of Article 4 Direction (added 1Sep09)
- Bank of England: Financial Sanctions: Burma/Myanmar (added 1Sep09)
- FATF Speech: The fight against money laundering and terrorist financing in low capacity countries (added 30Aug09)
- Wolfsberg Press Release: Cover Payments: Some Practical Questions Regarding the Implementation of the New Payments Messages (added 30Aug09)
- FSA Occasional Paper 36 - FSA’s Scale & Impact of Financial Crime Project (Phase One) Critical Analysis (added 28Aug09)
- FSA Scale and Impact of Financial Crime Project - Impacts of Financial Crimes and Amenability to Control by the FSA (added 28Aug09)
- ACCA UK Financial Services Network Meeting: Money Laundering and Identity Theft - FREE ADMISSION (added 25Aug09)
- JMLSG Proposed revision to Part I of the Guidance (added 20Aug09)
- HMRC: Money Laundering Regulations review of annual fee (added 20Aug09)
- Bank of England: Financial Sanctions: Al Qaida and Taliban (added 29Jul09)
- Bank of England: Financial Sanctions: General Notice of Revocation of Article 4 (added 29Jul09)
- Bank of England: Financial Sanctions: Al Qaida and Taliban (added 29Jul09)
- FATF Annual Report 2008-2009 (added 29Jul09)
- Bank of England: Financial Sanctions: Al Qaida and Taliban (added 18Jul09)
- Bank of England: Financial Sanctions: The Terrorism (United Nations Measures) Order 2009 (added 18Jul09)
- Bank of England: Financial Sanctions: Democratic People's Republic of Korea (added 18Jul09)
- FATF Statement: Mutual Evaluation of Korea - Executive Summary (added 16Jul09)
Full list of 3d pages open to the public with reference dates
Full list of 3d pages awaiting publication