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© 3d Investments Ltd 2012
The Joint Money Laundering Steering Group; 14 March 2005
Prevention of money laundering/combating the financing of terrorism
GUIDANCE FOR THE UK FINANCIAL SECTOR
TAKING ACCOUNT OF RISK - A CONSULTATION PAPER
PART I: Main Text
Chapter 1 Legal and Regulatory Overview
Key points in this chapter
Relevant law/regulation
FSMA section 6
Regulation 3
Regulation 7
Regulation 27
SYSC 2, 3
ML
Senior management must be aware of, and manage effectively, the risks in their businesses
Senior management must appoint a nominated officer to process disclosures
Senior management must appoint an MLRO with certain prescribed responsibilities
Senior management must act on the findings in the MLRO's annual report
Adequate r
Core obligations
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