2 Industry Regulation Flashcards
2
1
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2
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3
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4
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5
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6
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7
Q
- What is the difference between rules-based and principles-based regulation?
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8
Q
- What is the role of the IOSCO?
A
9
Q
- What role does the Financial Action Task Force (FATF) undertake?
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10
Q
- What are the five main offences relating to money laundering?
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11
Q
- What are the three stages of money laundering?
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12
Q
- What documentary evidence should be sought to validate the identity of a corporate client?
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13
Q
A
14
Q
- What type of client might require enhanced due diligence (EDD)?
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15
Q
- How is inside information usually defined?
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18
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19
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20
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