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- FSA Handbook of Rules and Guidance
- Contents
- Glossary
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- 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
- BIPRU 13.3 Calculation of exposure values
- CASS Client Assets
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- COBS New Conduct of Business sourcebook
- COLL New Collective Investment Schemes
- COMP Compensation
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- FEES Fees Manual
- FIT The Fit and Proper Test for Approved Persons
- GEN General Provisions
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- ICOBS Insurance: Conduct of Business
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- 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
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- PR Prospectus Rules
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- PROF Professional Firms
- RCB Regulated Covered Bonds
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- SUP Supervision Manual
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- TC Training and Competence
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- Special guides (not part of Handbook)
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- Unit Trusts & OEICs (incl IMA)
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- Funds-Axis
- BIPRU Prudential sourcebook for Banks, Building Societies and Investment Firms
- CASS Client Assets sourcebook
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- COLL New Collective Investment Schemes
- COLL 5.2 General investment powers and limits for UCITS schemes
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- 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
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- 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
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- 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
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- 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
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- Data Tables
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- 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
- Pensions
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- Association of Investment Trust Companies
- 3d Anti Money Laundering
- Anti Money Laundering
- Manual Watch List Checking
- Money Laundering Regulations
- ML Regulations - Versions held within 3d
- Proceeds of Crime Act 2002
- 2nd Money Laundering Directive (2001/97/EEC)
- 3rd Money Laundering Directive (2005/60/EEC)
- European ML Directives - Versions held within 3d
- FATF Financial Action Task Force
- SOCA The Serious Organised Crime Agency
- Terrorism Act 2000
- Terrorism Act 2006
- Anti-terrorism, Crime and Security Act 2001
- Counter-Terrorism Act 2008
- JMLSG Joint Money Laundering Steering Group
- Money Laundering Guidance Notes
- ML Guidance - Versions held within 3d
- 3d Irish
- Abbreviations
- Additional 3d products
- Training
- Latest News
© 3d Investments Ltd 2012
Money Laundering Home Page
Financial Action Task Force on Money Laundering (FATF)
Groupe d'Action Financière sur le Blanchiment de Capitaux (GAFI)
FATF REPORT 26 October 2009
MONEY LAUNDERING AND TERRORIST FINANCING IN THE SECURITIES SECTOR
©2009 FATF All rights reserved
ANNEX C: SUSPICIOUS TRANSACTION REPORTS
Table 1: Securities Related STRs - 2005-2008
Table 2: STR Breakdown Based on Type of Security
Table 3: STR Breakdown by type of institution
Table 1: Securities Related STRs - 2005-2008
[Two jurisdictions provided figures that appear large with respect to their securities markets. Jurisdiction one indicated that 303,054 STRs were filed between 2005 and 2008. In particular, jurisdiction one indicated that 70,405 STRs were filed in 2005, 78,705 in 2006, 86,607 in 2007 and 67,337 in 2008. It
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