Financial crime

 

This page lists FSA reports and publications relevant to financial crime.

 
Type Title Date
Statement Following the Financial Action Task Force (FATF) statement on 16th October 2008 of AML/CTF deficiencies in certain jurisdictions - HMT has issued the following advice to businesses October 2008
Update EU imposes financial sanctions against Bank Melli Iran and its UK subsidiary June 2008
Report Data security in Financial Services [PDF] April 2008
Report Review of firms’ implementation of a risk-based approach to anti-money laundering (AML) [PDF] March 2008
Report Automated Anti-Money Laundering Transaction Monitoring Systems [PDF] July 2007
Report Review of private banks’ anti-money laundering systems and controls [PDF] July 2007
Consumer Research Financial Crime Stakeholder Research [PDF] March 2007
Article for external publication The risk-based approach to AML: seizing the opportunity [PDF]
Article by Philip Robinson for the September edition of Money Laundering Bulletin		 September 2006
Consumer factsheet Checking your identity [PDF] September 2006
Article for external publication The risk-based approach to AML: an opportunity not to be missed [PDF]
Article by Philip Robinson for the July/August edition of Money Laundering Bulletin. 		July 2006
Policy statement PS06/1: Reviewing our Money Laundering Regime - Feedback on Chapter 2 of CP05/10 and made text May 2006
Report Firms' high-level management of fraud risk [PDF] February 2006
Consumer factsheet Why market abuse could cost you money [PDF] July 2005
Consumer research paper Consumers' views of proof of identity checks [PDF] June 2005
Report 'Defusing' the ID issue: Progress report 2 [PDF] June 2005
Handbook information Handbook Notice 42 [PDF] March 2005
Sector report Countering financial crime risks in information security [PDF] November 2004
Report ID - defusing the issue: A progress report [PDF] October 2004
Discussion paper DP26: Developing our policy on fraud and dishonesty December 2003
Discussion paper DP22: Reducing money laundering risk - Know Your Customer and anti-money laundering monitoring
Includes feedback on DP22 workshop 		August 2003
Briefing note Identification of existing customers by regulated firms [PDF] July 2003
Report Anti-money laundering current customer review cost benefit analysis [PDF] May 2003
Report Money Laundering: IFAs handling client money from abroad [PDF] February 2003
FSA Response FSA Response to the Home Office Consultation Paper Concerning Entitlement Cards and Identity Fraud [PDF] January 2003
Report Money Laundering - On-line broking and spread betting [PDF] October 2002
Report Money Laundering - Domestic banking [PDF] August 2002
Agreement Operating arrangements between the FSA and Ofex PLC [PDF] June 2002
Report Money Laundering [PDF] May 2002
Policy statement PS124: Market conduct sourcebook (specialist topics and frequently asked questions) - Feedback on CP124 January 2002
Guidelines Operating guidelines between the FSA and the Panel on Takeovers and Mergers on market misconduct [PDF] November 2001
Policy statement PS83: Inter-Professional firms: training and competence requirements for section 43 firms January 2002
Report The Money Laundering Theme: Tackling our new responsibilities [PDF] July 2001
Agreement Partnership agreement between NCIS and the FSA [PDF] July 2001
Policy statement PS87: Endorsement of the City Code on Takeovers and Mergers and the Rules Governing Substantial Acquisitions of Shares - Feedback on CP87 and 'made' text April 2001
Consultation paper CP78: The Price Stabilising Rules - Includes feedback to CP40 January 2001
Policy statement PS46: Money Laundering: The FSA's new role [PDF] January 2001
Consumer factsheet FSA Factsheet: Public issues of securities and stabilisation [PDF] December 2000
Consultation paper CP46: Money Laundering: the FSA's new role August 2000

 

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