PIMFA
Resources
- PIMFA LINKS
- Beware of impersonation fraud – ABI guidance note
- PIMFA Fraud Prevention Guide
- PIMFA Guest Blog - Why Wealth Management Firms Must Prioritise PEPs and Sanctions Screening
- PIMFA Guide - Current Fraud Trends - How to Protect Your Firm and Your Customers 2021
- PIMFA Guide for Trustees
- PIMFA Journal #28 - But it's a complex password! By Daniel Pollard, Mitigo Group
- PIMFA list of authorised financial advisers, stockbrokers and wealth managers
- PIMFA Podcast - Cutting the Cost of AML Compliance in Wealth Management Firms
- PIMFA Russia Sanctions Compendium
- FCA LINKS
- FCA - Anti-fraud controls and complaint handling in firms (with a focus on APP Fraud)
- FCA - Boiler Room Scams
- FCA - Bribery and Corruption
- FCA - Dear CEO letter for wealth management and stockbroking firms (8 November 2023)
- FCA’s Digital Sandbox
- FCA - FG17-06 On The Treatment Of Politically Exposed Persons
- FCA – Financial Crime Guide
- FCA - Financial Sanctions
- FCA - Financial Sanction measures against Russia
- FCA - how to submit a STOR
- FCA - Innovation Digital Sandbox - APP Fraud Dataset evaluation report
- FCA - Market Abuse
- FCA - Market Abuse Regulation
- FCA - Market Watch 77 Newsletter on market conduct and transaction reporting issues February 2024
- FCA - Money laundering and terrorist financing webpage
- FCA - Podcast Fighting fraud and financial crime
- FCA - Protect yourself
- FCA - Reducing and preventing financial crime
- FCA - Register
- FCA - Register a trust as a trustee
- FCA - Report a Scam
- FCA - Sanctions systems and controls: firms' response to increased sanctions due to Russia’s invasion of Ukraine
- FCA - Scamsmart
- FCA – Share, bond and boiler room scams
- FCA - Speech by Steve Smart - Teamwork: A Smart way to tackle financial crime - 26th June 2024
- FCA - Speech Calibrating controls to build confident markets
- FCA speech: Frameworks for Effective Fraud Prevention Measures
- FCA - Understanding the Money Laundering Risks in the Capital Markets
- FCA - Warning of increased risk of online investment fraud
- ASSOCIATE LINKS
- Avyse Partners - FCA Focus on Stockbrokers - s166 Skilled Person Reflections
- Avyse Partners - Regulatory Gap Analysis Templates
- DAC Beechcroft - The Economic Crime (Transparency and Enforcement) Act 2022 (“ECA”) – What You need to know
- DAC Beechcroft - The Economic Crime (Transparency and Enforcement) Act 2022 (“ECA”) – What You need to know (Pt 2)
- Herbert Smith Freehills - Economic Crime Act - Register Of Overseas Entities Holding UK Property Ushered In
- Themis - Anti Slavery Hub
- Toro Solutions guest blog: Your Digital Footprint: It’s Bigger Than You Realise
- OTHER INDUSTRY LINKS
- Action Fraud – Boiler room fraud
- Economic Crime and Corporate Transparency Act 2023
- Economic Crime Plan 2
- Find an advisor via Unbiased
- Find an advisor via Voucher
- Foreign, Commonwealth & Development Office Post-Legislative Scrutiny Memorandum: Sanctions and Anti-Money Laundering Act 2018
- Government Factsheet: Economic Crime and Corporate Transparency Bill overarching
- HM Government - Deter, disrupt and demonstrate – UK sanctions in a contested world: UK sanctions strategy
- HMRC - Trust Registration Service Manual
- HMT - Anti-money laundering and counter-terrorist financing: Supervision Report: 2022-23
- HMT - Anti-money laundering and counter-terrorist financing: Supervision Report: 2023-24
- HMT - Financial Sanctions: webinars and events
- HMT - Money Laundering and Terrorist Financing (High-Risk Countries) (Amendment) (No.2) Regulations 2023 (SI 2023/1306).
- Home Office - Guidance on money laundering reporting obligations in relation to the DAML exemption provisions introduced by the Economic Crime and Corporate Transparency Act 2023
- NCA - Guidance submitting better quality SARs
- NCA - Suspicious Activity Reports
- NCA - Suspicious Activity Reports in Actions publication
- OFSI - enforcement and monetary penalties for breaches of financial sanctions
- OFSI - Guidance on UK Financial Sanctions
- The Laundry Podcast – What keeps MLROs up at night?
- The Money Advice Service – Staying safe against scams
- The Money Laundering and Terrorist Financing (High-Risk Countries) (Amendment) Regulations 2024
- The UK Sanctions List
- USEFUL WEBSITES
The Financial Action Task Force
The Financial Conduct Authority
HM Treasury
HM Revenue & Customs
The Joint Money Laundering Steering Group
The National Crime Agency
The Serious Fraud Office
UK Financial Intelligence Unit
Joint Money Laundering Intelligence Taskforce
National Economic Crime Centre
