Contents
Site updated 4 Jul 2008
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Regulation (FSA, ML, HMT etc)
- Financial Services Authority
- FSA - Financial Services Authority
- FSA Handbook of Rules and Guidance
- Annual Reports and Management Plans
- Board Minutes
- Consultation Papers
- Discussion Papers
- Enforcement Notices and Application refusals
- Factsheets and other Consumer Publications
- Handbook Development Newsletters
- Handbook Legal instruments
- Handbook Notices
- Occasional Papers
- Organisation Chart
- Other Reports
- Policy Statements
- Press Releases
- Recognised Bodies
- Special Guides
- Statements
- Waivers
- Life Insurance Newsletters
- General Insurance Newsletters
- Anti Money Laundering
- Anti Money Laundering
- Money Laundering Guidance Notes
- 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
- JMLSG Joint Money Laundering Steering Group
- SOCA The Serious Organised Crime Agency
- OECD Organisation for Economic Co-operation and Development
- FATF Financial Action Task Force
- FATF The Forty Recommendations
- Suggested MLRO good practice framework
- Institute of Money Laundering Prevention Officers
- HM Treasury
- Bank of England
- Mortgages
- Former Regulators
- Self-Regulating Organisations (SROs) (no longer in being)
- IMRO Investment Management Regulatory Organisation
- PIA Personal Investment Authority
- SFA Securities and Futures Authority
- FIMBRA Financial Intermediaries, Managers & Brokers Regulatory Association
- LAUTRO Life Assurance and Unit Trust Regulatory Organisation
- FSA Handbook of Rules and Guidance
- Contents
- Glossary
- Rule-making instruments
- BIPRU Prudential sourcebook for Banks, Building Societies and Investment Firms
- CASS Client Assets
- CIS Collective Investment Schemes
- COAF Complaints against the FSA
- COB Conduct of Business
- COBS New Conduct of Business sourcebook
- COLL New Collective Investment Schemes
- COMP Compensation
- COND Threshold Conditions
- CRED Credit Unions
- DEC Decision making Manual
- DISP Dispute resolution: Complaints
- ECO Electronic Commerce Directive
- ELM Electronic Money
- ENF Enforcement Manual
- FIT The Fit and Proper Test for Approved Persons
- FEES Fees Manual
- GEN General Provisions
- GENPRU General Prudential
- INSPRU Prudential sourcebook for Insurers
- IPRU-INV Interim Prudential sourcebook for Investment Businesses
- MAR Market Conduct
- MCOB Mortgages: Conduct of Business
- PRIN Principles for Businesses
- PROF Professional Firms
- 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
- 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
- ENF 11.5 Action against approved persons
- FiSMA Part V Performance of regulated activities
- Special guides (not forming part of the FSA Handbook)
- Not currently part of this product
- ICOB Insurance: Conduct of Business
- 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
- Insurance Company, Friendly Society, Pensions and Irish Regulations
- Unit Trusts & OEICs (incl IMA)
- ISAs, PEPs & CTFs (incl TISA)
- Legislation (Acts & SIs)
- FiSMA Financial Services and Markets Act 2000
- Statutes (Acts)
- Statutes Listing
- Bank of England Act 1998 [Extracts from]
- Banking Act 1987 [Extracts from] [Repealed]
- Child Trust Funds Act 2004
- Companies Act 1985 [Extracts from]
- Companies Act 1989 [Extracts from]
- Criminal Justice Act 1993 [Extracts from]
- Electronic Communications Act 2000
- Enduring Powers of Attorney Act 1985
- Enterprise Act 2002 [Schedule 25 only]
- Income and Corporation Taxes Act 1988 [Extracts from]
- Insolvency Act 1986 [Extracts from]
- Land Registration Act 2002 [Extracts from]
- Law of Property Act 1925 [Extracts from]
- Limited Liability Partnerships Act 2000
- Powers of Attorney Act 1971
- Regulation of Financial Services (Land Transactions) Act 2005
- Sarbanes-Oxley Act of 2002
- Serious Organised Crime and Police Act 2005 [Extracts from]
- Taxation of Chargeable Gains Act 1992 [Extracts from]
- Terrorism Act 2000
- Trustee Act 1925
- 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)
- Statutory Instruments
- Statutory Instruments 2008
- Statutory Instruments 2007
- Statutory Instruments 2006
- Statutory Instruments 2005
- Statutory Instruments 2004
- Statutory Instruments 2003
- Statutory Instruments 2002
- Statutory Instruments 2001
- Statutory Instruments 2000
- Statutory Instruments 1999
- Statutory Instruments 1998
- Statutory Instruments 1997
- Statutory Instruments 1996
- Statutory Instruments 1995
- Statutory Instruments 1994
- Statutory Instruments 1993
- Statutory Instruments 1992
- Statutory Instruments 1991
- Statutory Instruments 1990
- Statutory Instruments 1989
- Statutory Instruments 1988
- Statutory Instruments 1946
- Regulated Activities Order (SI 2001/544)
- Trustee Act 2000
- Proceeds of Crime Act 2002
- Data Protection Act 1998
- Europe
- Europe
- Member States
- Members of the Euro Zone
- CESR Committee of European Securities Regulators
- FATF Financial Action Task Force
- OECD Organisation for Economic Co-operation and Development
- European Directives
- European Directives
- Banking Consolidation (Credit Institutions)
- Deposit-Guarantee Schemes
- Distance Marketing
- Fair Value
- Financial Groups (Financial Conglomerates)
- Investment Services
- Investor-Compensation Schemes
- Market Abuse
- Markets in Financial Instruments (revised Investment Services Directive)
- Money Laundering
- PLC Safeguards
- Prospectus
- Protection of Consumers in respect of Distance Contracts
- Savings
- Second Life
- Settlement finality in payment and securities settlement systems
- Third Life
- Transparency
- UCITS
- UK Listing
- LR Listing Rules
- PR Prospectus Rules
- DTR Disclosure Rules and Transparency Rules
- UKLA UK Listing Authority
- UKLA Publication: LIST! Newsletters
- UKLA Publication: Market Watch Newsletters
- London Stock Exchange
- City Code on Takeovers and Mergers
- Rules of the London Stock Exchange
- Panel on Takeovers and Mergers
- Taxation
- HMRC HM Revenue & Customs
- Rates of Tax and Allowances
- VAT Value Added Tax
- Business Briefs
- Consultation Documents, Discussion Papers, Policy Statements
- Extra-Statutory Concessions
- Finance Acts
- FICO Financial Intermediaries and Claims Office
- Income and Corporation Taxes Act 1988 (Extracts from)
- Offshore funds that have applied for and been granted UK distributor status
- Press Releases
- Publications
- Recognised Stock Exchanges
- Stamp Office
- Statements of Practice
- Shares of Negligible Value
- Tax Bulletins
- Guidance Notes
- ISAs, PEPs & CTFs
- Tax Regulations
- Trustees & Depositaries
- Accounting and Other items
- Accounting
- Charity Commissioners
- Pension Fund Pooling Vehicles
- Association of Investment Trust Companies
- 3d JMLSG Anti Money Laundering Guidance
- Anti Money Laundering
- 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
- European ML Directives - Versions held within 3d
- ML Guidance - Versions held within 3d
- ML Regulations - Versions held within 3d
- Abbreviations
- Additional 3d products
© 3d Investments Ltd 2008
Anti Money Laundering
For information on the JMLSG Help Desk, see note from 3 March 2006
Guidance Notes
Joint Money Laundering Steering Group (JMLSG)
Versions of the Guidance Notes held within 3d
Giving Guidance on the JMLSG Guidance Notes: the Role of the FSA (FSA, 15 July 2002)
Bank of England: Consolidated List of Financial Sanctions Targets in the UK
FSA Handbook
Money Laundering Sourcebook (ML) **** ML DELETED BY FSA 2006/1 **** with effect from 31 August 2006. Material amended and moved to SYSC
Update on money laundering - Letter from Carol Sergeant (September 2003)
Money Laundering - Domestic Banking (FSA, July 2002)
FSA Briefing note: Identification of existing customers by regulated firms - July 2003
Regulations
The Money Laundering Regulations 2007 (SI 2007/2157)
Versions of the Money Laundering Regulations held within 3d
JMLSG Note: Proceeds of Crime Act 2002 (August 2002)
European Directives
Third Money Laundering Directive (EC 2005/60) - repealed 91/308/EEC
2nd European Money Laundering Directive (2001/97/EEC)
Versions of the European Directives held within 3d
Organisations
British Bankers' Association (BBA)
Institute of Money Laundering Prevention Officers (IMLPO)
The Serious Organised Crime Agency (SOCA)
Organisation for Economic Co-operation and Development (OECD)
Financial Action Task Force (FATF)
HMT Money Laundering Advisory Committee (MLAC)
Background
Suggested MLRO good practice framework
FSA Money Laundering Statement: Using national and international findings on material deficiencies
Post 11 September - Lists of alleged terrorist suspects, 21 December 2001
OFAC's SDN List; 24 September 2001
FSA — The Money Laundering Theme: Tackling our new responsibilities; July 2001
OECD News Release 18 April 2002
The OECD issues the List of Unco-operative Tax Havens
JMLSG Draft Revised Guidance Notes for the Financial Sector: A Consultative Draft - November 2002