Contents
Site updated 7 Jan 2009
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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
- Asset Management Newsletters
- Best execution
- Board Minutes
- Capital Markets Bulletins
- Client categorisation
- Consultation Papers
- Discussion Papers
- Enforcement Notices and Application refusals
- EU Documents
- Factsheets and other Consumer Publications
- General Insurance Newsletters
- Handbook Development Newsletters
- Handbook Legal instruments
- Handbook Notices
- Integrated Regulatory Reporting
- Investment research
- Life Insurance Newsletters
- MiFID Related Documents
- Occasional Papers
- Organisation Chart
- Other Reports
- Outsourcing
- Policy Statements
- Press Releases
- Recognised Bodies
- Special Guides
- Speeches
- Statements
- Waivers
- International Jurisdictions
- 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
- FSA Financial Crime Newsletters
- Suggested MLRO good practice framework
- Institute of Money Laundering Prevention Officers
- Bank of England
- HM Treasury
- Credit Unions
- Mortgages
- Insurance Company, Friendly Society, Pensions and Irish Regulations
- 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
- 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
- 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
- DEPP Decision Procedure and Penalties
- DISP Dispute resolution: Complaints
- ELM Electronic Money
- 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
- MIPRU Prudential sourcebook for Mortgage and Home Finance Firms, and Insurance Intermediaries
- 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)
- EMPS Energy Market Participants
- OMPS Oil Market Participants
- SERV Service companies
- SIFA Using the FSA Handbook: an Overview for small IFA firms
- MIGI Small Mortgage and Insurance Intermediaries: Part I - General Rules
- MOGI Small Mortgage and Insurance Intermediaries: Part II - Mortgage Intermediaries
- GIGI Small Mortgage and Insurance Intermediaries: Part III - Insurance Intermediaries
- Regulatory Guides
- Interim Permitted Persons
- Unauthorised mutuals registration fees rules
- Not currently part of this product
- Unit Trusts & OEICs (incl IMA)
- IMA Investment Management Association
- IMA Circulars
- 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
- Europe
- Europe
- EC Press Releases
- EC Speeches
- 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)
- CRD Capital Requirements
- Deposit-Guarantee Schemes
- Distance Marketing
- Distance Selling (Telesales)
- Eligible Assets
- Fair Value
- Financial Groups (Financial Conglomerates)
- Investor-Compensation Schemes
- Life Assurance
- Market Abuse
- Mergers and Acquisitions
- MiFID (Markets in Financial Instruments)
- Money Laundering
- Payment Services
- PLC Safeguards
- Prospectus
- Savings
- Settlement Finality
- Transparency
- UCITS
- Unfair Commercial Practices
- 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
- Guidance Notes
- 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
- Stamp Office
- Statements of Practice
- Shares of Negligible Value
- Tax Bulletins
- Tax Regulations
- Trustees & Depositaries
- Accounting and Other items
- Accounting
- ACCA Financial Services Network Programme
- ACCA Professional Courses 2009
- SORPs Statements of Recommended Practice
- IMA SORP Financial Statements of Authorised Funds
- SORP for Financial Statements of Investment Trust Companies
- ASB UK Accounting Standards
- IASC International Accounting Standards
- Reporting Standards
- 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
- Anti-terrorism, Crime and Security Act 2001
- Counter-Terrorism Act 2008
- European ML Directives - Versions held within 3d
- ML Guidance - Versions held within 3d
- ML Regulations - Versions held within 3d
- Terrorism Act 2006
- 3d Irish
- Abbreviations
- Additional 3d products
© 3d Investments Ltd 2009
IMLPO
Institute of Money Laundering Prevention Officers
www.imlpo.com
IMLPO was established in 2001. It is a unique cross-representative forum of anti-money laundering professionals who share views, experiences and opinions - in a safe environment - of the day-to-day business of combating money laundering.
The aims and objectives of IMLPO are:
- to establish a recognised industry forum to address specific issues of concern identified and raised by our members
- to facilitate the further education and professional development of our members
- to provide a broad representation for issues concerning money laundering prevention.
Our members benefit from:
- being able to share and explore experiences and views with fellow practitioners
- networking and benchmarking opportunities
- cost-effectives access to practical solutions and events
- discounts on products, services and consultancy
- a representative voice with the regulators, law enforcement and the industry itself.
Initially, the members of IMLPO were mainly AML practitioners in financial institutions, but following the widening of the scope of the anti-money laundering regulations in the UK, IMLPO took steps to broaden its membership to bring on board representatives of those business sectors newly affected - the new “gatekeepers”.
Our members therefore now hail not only from banks, insurance companies, fund managers, building societies, finance companies etc, but also from a wide range of other types of organisations such as accountancy firms, law firms, barristers’ chambers, gaming companies and stockbrokers. Our membership is also not exclusively London-based: we have members from organisations all over the UK, including Scotland, Northern Ireland, the Channel Islands, the south west, etc.
We hold regular meetings around the country - not always in London! - which provide members with the opportunity to hear topical presentations from high-level outside speakers, and also to network and discuss the issues and concerns that affect them on a daily basis with their counterparts from within their own sectors and outside.
For further information: http://www.imlpo.com/