Financial Services, Sectors - Written by on Sunday, April 1, 2012 14:40 - 0 Comments

FSA Firms & anti-financial crime. Are you compliant & what you need to do – Join us on April 30. We tell you.

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On March 29 2012 the FSA declared war on firms who have inadequate systems and controls to deal with financial crime.  On the same day they published scathing comments about the levels of existing controls in firms.

Join us on April 30 in our London offices at 6pm when we will highlight the failings present in many authorized firms and highlight steps which all firms should take to comply with existing and proposed FSA rules.

If you would like to come please contact

We have developed proprietary checklists and tests to check FSA firms’ compliance with existing and proposed new rules, highlight areas of weakness and importantly fix the problem.

With fines running into millions in an area increasingly important in the regulators minds and the public psyche can you afford to ignore this important issue?

After a presentation we shall run a Question Time Q&A panel session under the Chatham House Rule.

Attendees will receive a checklist of areas they must address.

On Friday March 29 the FSA again flagged shortcomings in authorized firms systems and controls to deal with Bribery and Financial Crime following its much publicized thematic review into anti-bribery controls in investment banks.

On the same day the FSA published a consultation about amendments to its guidance on Financial Crime guide for all authorised firms.  The consultation is remarkable given its publication only weeks after the initial guide was published and highlights the FSA’s concern about the issue.

The FSA has already undertaken much publicized enforcement action against Aon, Willis with other firms referred to enforcement for systems and controls failings in the financial crime arena.

Don’t be one of them.  Join us on April 30.

If you are interested in attending this seminar, or you would like to discuss stress testing your firm’s anti-crime controls and augmenting existing systems to be compliant please contact

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