Industry Regulation

Frage	Antworten
4 main offences of Money Laundering are	concealing arrangements acquisition, use and possession tipping off
Money Laundering Regulations places 3 main requirements on firms	Identification Procedures Train their staff Establish internal controls
3 stages of money laundering are	Placement Layering Integration
3 x Client identity procedures are	customer due diligence enhanced due diligence simplified due diligence
Inside information is	information that relates to a particular security and which is: specific not made public yet if it were public it would affect the share price
Insider dealing occurs when	an insider acquires or disposes of stock or encourages another to, following receipt of price sensitive information before it is publicly known
There are 7 types of Market Abuse	Insider dealing Improper disclosure Misuse of information Manipulating transactions Manipulating devices Dissemination Distortion & misleading behaviour
Corporate Governance is	the mechanism by which the long term interests of shareholders is protected
OECD Principles of Corporate Governance are	Ensuring the basis for an effective corporate governance framework The rights of shareholders The equitable treatment of shareholders The role of stakeholders Disclosure & transparency The responsibilities of the board

Zusammenfassung der Ressource

	Erstellt von callum.thomson vor mehr als 10 Jahre