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Creado por callum.thomson
hace alrededor de 10 años
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Pregunta | Respuesta |
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 |
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