02/27/2007
Counting on compliance: The implications of more principles-based regulation
Dr. Thomas F. Huertas, Director Wholesale Firms Division and Banking Sector Leader, FSA, was speaker in the framework of the Fourth Annual Complinet Compliance Conference a few weeks ago.
His topic was : Counting on compliance: The implications of more principles-based regulation.
His conclusion was that Compliance continues to play a key role under more principles-based regulation. Compliance should effectively act as the conscience of the firm: make sure that people get strong signals about what is right and what is wrong, and, over time, weed out wrong-doing, and, if necessary, wrong-doers.
See speech
05:50 Posted in UK | Permalink | Comments (0)
Financial regulation: Myth and reality
A couple of weeks ago, Callum McCarthy, Chairman, FSA, was speaker in the framework of the British American Business London Insight Series And Financial Services Forum.
His topic was : Financial regulation: Myth and reality
See speech
05:48 Posted in UK | Permalink | Comments (0)
02/26/2007
AML in Luxembourg
Pit Reckinger from the Law Firm Helvinger, Hoss & Prussen drafted an article to be published in a slightly shortened version by Anti Money Laundering: International Law and Practice, W. H. Muller, C. H. Kälin and J. G. Goldsworth (Eds), Copyright John Wiley & Sons Ltd, 2007.
See article
18:35 Posted in Luxembourg | Permalink | Comments (0)