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Mod 1 : Understanding the Regulatory Env (ML & Terrorism financing…
Mod 1 : Understanding the Regulatory Env
objectives
maintain mkt confidence
protect investors
preserve mkt integrity
intnl & local std setters
BIS
MAS
maintain price stability
foster a sound and reputable FC
mgmt of the official foreign reserves
of S/Pore
grow S/Pore as an intnl competitive FC
roles & func
regulation
authorisation
supervision
surveillance
enforcement
resolution
sources
Primary
Acts
secondary
directions
guidelines
codes
practice notes
circulars
policy stmt
principles
Financials Svcs Org
regulators
ML & Terrorism financing
smurfing
FATF
HSBC
Trusts
Jersey Trust
Private Bkg
Raul Salinas, Asif Ali Zardari
insurance
Investment funds
bureau de exchange
lawyers & accountants
mechanisms
companies
limited liab partnership
unlimited company
regulators
rpting system
USA
internal ctrls
trends