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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)

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