영문목차
Biographies=v
1. The UK Statutory Framework / Ben Kingsley [Partner, Slaughter and May]
1.1. Introduction=1
1.2. Statutory offences=8
1.3. Proceeds of Crime Act 2002=10
1.4. The Terrorism Act 2000=44
1.5. The Wire Transfer Regulation=57
1.6. Investigations, confiscation and asset freezing=61
1.7. Conclusion=85
2. Civil Liability and Money Laundering / Paul Marshall [Barrister, No.5 Chambers]
2.1. Introduction=87
2.2. The financial institution and its customer=98
2.3. Common law claims=102
2.4. Equitable claims=113
2.5. Proprietary remedies=132
2.6. Tracing=134
2.7. Civil law risks to gatekeepers reporting suspicion=148
2.8. Civil Liability under the Money Laundering Regulations 2007=155
3. International Considerations / Ben Hammond [Partner, Ashurst LLP]
3.1. Introduction=159
3.2. The Financial Action Task Force=160
3.3. The United Nations=186
3.4. The Council of Europe=189
3.5. The Basel Committee=191
3.6. The Wolfsberg Standards=193
3.7. Conclusion=197
4. The Money Laundering Regulations 2007 / Stephen Gentle [Partner] ; Cherie Spinks [Supervising Associate, Simmons & Simmons LLP]
4.1. Background=199
4.2. The Third Directive and a new Fourth Directive=201
4.3. The Money Laundering Regulations 2007=203
4.4. Professional guidance=205
4.5. The risk-based approach=207
4.6. Customer due diligence measures (Regs 5-19)=208
4.7. Internal policies and procedures (including record keeping, training of employees and reporting) (Regs 19-21)=219
4.8. Consequences of breaching the 2007 Regulations=221
4.9. Casinos=222
4.10. Money service businesses and high value dealers=222
4.11. Trust or company service providers=224
4.12. Powers of investigation and enforcement=224
5. The Joint Money Laundering Steering Group : Guidance Notes for the Financial Sector / Stephen Gentle [Partner] ; Cherie Spinks [Supervising Associate, Simmons & Simmons LLP]
5.1. The Joint Money Laundering Steering Group=229
5.2. Purpose of the Guidance Notes=231
5.3. The Guidance Notes=232
5.4. Part III : Equivalent jurisdictions=237
5.5. Part III : Equivalent markets=238
5.6. Part III : Compliance with the UK financial sanctions regime=239
5.7. Conclusion=240
6. FCA Regulation of the UK Money Laundering Regime / Ben Kingsley [Partner, Slaughter and May]
6.1. Regulatory context=241
6.2. Background to the FCA's rules=242
6.3. The SYSC rules and guidance on money laundering=245
6.4. Conclusion=258
7. The Role of the Financial Conduct Authority / Elizabeth Richards [Consultant, Policy and Risk Team, Specialist Supervision Division] ; James London [Manager, Policy and Risk Team, Specialist Supervision Division]
7.1. Introduction=261
7.2. The Financial Conduct Authority=261
7.3. Legal context=262
7.4. The FCA's approach to combatting money laundering=266
7.5. What is required of financial firms by the FCA?=268
7.6. Conclusion=271
8. Practical Systems and Controls / Debbie Ward [Partner, Financial Crime Team] ; Colin Pickard [Director, Financial Crime Team] ; Gabriela Grosicka [Manager, Financial Crime Team Ernst & Young LLP]
8.1. Introduction=273
8.2. The Financial Crime Control Framework (FCC Framework)=276
8.3. A risk-based approach to inherent FC business risk assessment=283
8.4. Provide ongoing advice=294
8.5. Disclosures and production orders=295
8.6. Develop financial crime intelligence=299
8.7. Report and manage information=302
8.8. Conduct assurance and monitoring activities=305
8.9. Make continuous improvement=307
8.10. Conclusion=308
9. The Application of the AML Legislation to International Transactions / Paul Marshall ; Richard Jones [QC]
9.1. Introduction=312
9.2. Application of POCA 2002 and relevant regulations to overseas branches, offices and subsidiaries of UK entities=322
9.3. Application of POCA 2002 and relevant money laundering regulations to overseas entities carrying on business in the UK=329
9.4. Criminal liability for money laundering of persons other than individuals=331
9.5. Extra-territorial issues arising out of the legislative drafting of POCA 2002=338
9.6. The courts' approach to statutory extra-territoriality=342
9.7. Jurisdiction over money laundering offences committed abroad : R. v Rogers=352
9.8. The disclosure obligation=368
9.9. Suspicion=374
9.10. The construction of criminal statutes and legal certainty=390
10. The Extra-Territorial Effects of US Anti-Money Laundering Law / Denis J. McInerney [Partner] ; James L. Kerr [Counsel] ; Michael J. Russano [Counsel] ; Sarah Breslow [Associate, Davis Polk & Wardwell LLP]
10.1. Basic structure of US AML law=399
10.2. The PATRIOT Act=404
10.3. Recent developments in US AML law=436
10.4. Conclusion=461
Index=463