PLC - Bribery Act 2010: compliance and enforcement issues for financial institutions

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Resource ID: 6-504-4741
Products: PLC UK Financial Services, PLC UK Public Sector
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Topics

Financial and Corporate CrimeFinancial and Corporate Crime (http://corporate.practicallaw.com/7-103-1182)
Investigations and Enforcement: Financial ServicesInvestigations and Enforcement: Financial Services (http://corporate.practicallaw.com/6-201-5209)

Practice note: overview

An overview of the UK anti-money laundering and counter-terrorist financing regime An overview of the UK anti-money laundering and counter-terrorist financing regime (http://crossborder.practicallaw.com/topic4-102-5253)
Bribery Act 2010: toolkit Bribery Act 2010: toolkit (http://crossborder.practicallaw.com/topic9-503-9451)
Enforcement: a key component of the FSA's credible deterrence strategy (superseded with effect from 1 April 2013) Enforcement: a key component of the FSA's credible deterrence strategy (superseded with effect from 1 April 2013) (http://crossborder.practicallaw.com/topic9-381-9512)
Financial crime glossary Financial crime glossary (http://crossborder.practicallaw.com/topic5-517-6483)
FSA priorities and key messages for firms for 2010/11: FSA's Financial Risk Outlook 2010 and Business Plan 2010/11 FSA priorities and key messages for firms for 2010/11: FSA's Financial Risk Outlook 2010 and Business Plan 2010/11 (http://crossborder.practicallaw.com/topic9-501-1758)
Senior Management Arrangements, Systems and Controls: overview Senior Management Arrangements, Systems and Controls: overview (http://crossborder.practicallaw.com/topic9-214-1980)
The Foreign Corrupt Practices Act: Overview The Foreign Corrupt Practices Act: Overview (http://crossborder.practicallaw.com/topic0-502-2006)

Practice notes

A guide to reporting obligations under the Proceeds of Crime Act 2002 A guide to reporting obligations under the Proceeds of Crime Act 2002 (http://crossborder.practicallaw.com/topic6-508-0418)
Anti-corruption regimes in the UK and US: a comparison of the UK Bribery Act 2010 and the US Foreign Corrupt Practices Act 1977 Anti-corruption regimes in the UK and US: a comparison of the UK Bribery Act 2010 and the US Foreign Corrupt Practices Act 1977 (http://crossborder.practicallaw.com/topic0-503-0676)
Approved persons regime: Statements of Principle and Codes of Practice for Approved Persons Approved persons regime: Statements of Principle and Codes of Practice for Approved Persons (http://crossborder.practicallaw.com/topic2-201-3392)
Bribery Act 2010 Bribery Act 2010 (http://crossborder.practicallaw.com/topic5-500-8692)
Bribery Act 2010 anti-corruption policies Bribery Act 2010 anti-corruption policies (http://crossborder.practicallaw.com/topic9-502-3153)
Bribery Act 2010: corporate criminal liability Bribery Act 2010: corporate criminal liability (http://crossborder.practicallaw.com/topic5-505-3552)
Bribery Act 2010: corporate hospitality, gifts and expenses Bribery Act 2010: corporate hospitality, gifts and expenses (http://crossborder.practicallaw.com/topic4-505-3623)
Bribery Act 2010: enforcement: prosecutorial discretion Bribery Act 2010: enforcement: prosecutorial discretion (http://crossborder.practicallaw.com/topic6-504-2191)
Bribery Act 2010: facilitation payments Bribery Act 2010: facilitation payments (http://crossborder.practicallaw.com/topic3-505-3360)
Bribery Act 2010: jurisdictional reach Bribery Act 2010: jurisdictional reach (http://crossborder.practicallaw.com/topic5-504-1451)
Bribery Act 2010: using a statement of ethics effectively Bribery Act 2010: using a statement of ethics effectively (http://crossborder.practicallaw.com/topic6-505-9817)
Bribery and corruption: FSA thematic work Bribery and corruption: FSA thematic work (http://crossborder.practicallaw.com/topic2-505-1111)
Bribery and corruption: self-reporting regime in Scotland Bribery and corruption: self-reporting regime in Scotland (http://crossborder.practicallaw.com/topic1-518-2202)
Bribery: law reform Bribery: law reform (http://crossborder.practicallaw.com/topic9-385-6038)
Crime and Courts Act 2013: tracker Crime and Courts Act 2013: tracker (http://crossborder.practicallaw.com/topic2-519-4596)
Debarment from public contracts and the Bribery Act 2010 Debarment from public contracts and the Bribery Act 2010 (http://crossborder.practicallaw.com/topic1-505-6883)
FCA's financial crime guide FCA's financial crime guide (http://crossborder.practicallaw.com/topic9-509-0166)
FCA: role, governance and powers FCA: role, governance and powers (http://crossborder.practicallaw.com/topic6-504-5439)
Fraud: overview of compliance and enforcement issues for financial institutions Fraud: overview of compliance and enforcement issues for financial institutions (http://crossborder.practicallaw.com/topic9-520-9759)
HM Treasury's post-implementation review of the Money Laundering Regulations 2007 HM Treasury's post-implementation review of the Money Laundering Regulations 2007 (http://crossborder.practicallaw.com/topic5-506-4013)
Money Laundering Regulations 2007: implications for FSMA-authorised firms Money Laundering Regulations 2007: implications for FSMA-authorised firms (http://crossborder.practicallaw.com/topic1-379-3441)
Principles for Businesses Principles for Businesses (http://crossborder.practicallaw.com/topic7-201-4191)
Recognising and reporting suspicious activities Recognising and reporting suspicious activities (http://crossborder.practicallaw.com/topic2-201-7168)
UK financial sanctions regime: an overview UK financial sanctions regime: an overview (http://crossborder.practicallaw.com/topic6-375-2155)
US and UK whistleblowing programmes: implications for US and UK financial institutions and other companies US and UK whistleblowing programmes: implications for US and UK financial institutions and other companies (http://crossborder.practicallaw.com/topic9-525-9018)

Standard documents

Anti-corruption and bribery policy Anti-corruption and bribery policy (http://crossborder.practicallaw.com/topic0-504-5164)
Bribery Act 2010: sample statement of ethics Bribery Act 2010: sample statement of ethics (http://crossborder.practicallaw.com/topic3-504-7784)

Checklist

FCA bribery and corruption systems and controls: checklist FCA bribery and corruption systems and controls: checklist (http://crossborder.practicallaw.com/topic3-504-6925)

Articles

Berwin Leighton Paisner's financial crime column: April 2012 Berwin Leighton Paisner's financial crime column: April 2012 (http://crossborder.practicallaw.com/topic8-518-7871)
Berwin Leighton Paisner's financial crime column: April 2013 Berwin Leighton Paisner's financial crime column: April 2013 (http://crossborder.practicallaw.com/topic1-525-6702)
Berwin Leighton Paisner's financial crime column: August 2012 Berwin Leighton Paisner's financial crime column: August 2012 (http://crossborder.practicallaw.com/topic0-520-6454)
Berwin Leighton Paisner's financial crime column: December 2012 Berwin Leighton Paisner's financial crime column: December 2012 (http://crossborder.practicallaw.com/topic8-523-2543)
Berwin Leighton Paisner's financial crime column: June 2013 Berwin Leighton Paisner's financial crime column: June 2013 (http://crossborder.practicallaw.com/topic0-532-0826)
Berwin Leighton Paisner's financial crime column: October 2012 Berwin Leighton Paisner's financial crime column: October 2012 (http://crossborder.practicallaw.com/topic7-521-8397)
Bribery Bill: time to update corporate compliance Bribery Bill: time to update corporate compliance (http://crossborder.practicallaw.com/topic2-501-3096)
Self-reporting corporate corruption: where are we after Innospec? Self-reporting corporate corruption: where are we after Innospec? (http://crossborder.practicallaw.com/topic2-502-1218)
The Bribery Act 2010: a landscape transformed The Bribery Act 2010: a landscape transformed (http://crossborder.practicallaw.com/topic5-503-8482)

Legal update: archive

Ask the team: Bribery Act 2010, frequently asked questions Ask the team: Bribery Act 2010, frequently asked questions (http://crossborder.practicallaw.com/topic7-510-9548)
BBA response to MoJ bribery consultation BBA response to MoJ bribery consultation (http://crossborder.practicallaw.com/topic4-503-8680)
Bribery Act 2010: Consultation on guidance about commercial organisations preventing bribery Bribery Act 2010: Consultation on guidance about commercial organisations preventing bribery (http://crossborder.practicallaw.com/topic5-501-7922)
Bribery Act 2010: Guidance about procedures which relevant commercial organisations can put in place to prevent bribery Bribery Act 2010: Guidance about procedures which relevant commercial organisations can put in place to prevent bribery (http://crossborder.practicallaw.com/topic5-505-4679)
Bribery Act 2010: Prosecution guidance published by the Serious Fraud Office Bribery Act 2010: Prosecution guidance published by the Serious Fraud Office (http://crossborder.practicallaw.com/topic2-505-4869)
City of London Corporation report on the impact of the Bribery Act 2010 on the UK financial services sector City of London Corporation report on the impact of the Bribery Act 2010 on the UK financial services sector (http://crossborder.practicallaw.com/topic6-502-3296)
CLLS response to MoJ bribery consultation CLLS response to MoJ bribery consultation (http://crossborder.practicallaw.com/topic0-503-8955)
FATF reference guide and information note on corruption FATF reference guide and information note on corruption (http://crossborder.practicallaw.com/topic5-503-7213)
FMLC response to MoJ bribery consultation FMLC response to MoJ bribery consultation (http://crossborder.practicallaw.com/topic4-504-0843)
FSA fines Aon Limited £5.25 million for serious failings in anti-bribery and corruption systems and controls FSA fines Aon Limited £5.25 million for serious failings in anti-bribery and corruption systems and controls (http://crossborder.practicallaw.com/topic0-384-3762)
FSA publishes interim findings of review of insurance broker firms' anti-bribery and corruption systems and controls FSA publishes interim findings of review of insurance broker firms' anti-bribery and corruption systems and controls (http://crossborder.practicallaw.com/topic5-500-1860)
FSA publishes report on insurance broker firms' anti-bribery and corruption systems and controls FSA publishes report on insurance broker firms' anti-bribery and corruption systems and controls (http://crossborder.practicallaw.com/topic3-502-2830)
Margaret Cole speech on fighting financial crime in the new regulatory world Margaret Cole speech on fighting financial crime in the new regulatory world (http://crossborder.practicallaw.com/topic9-503-8734)
Transparency International briefing on UK approach to anti-corruption Transparency International briefing on UK approach to anti-corruption (http://crossborder.practicallaw.com/topic5-503-8156)

Legal update: case report

BAE sentenced in the Crown Court in the Tanzania defence contract case BAE sentenced in the Crown Court in the Tanzania defence contract case (http://crossborder.practicallaw.com/topic5-504-3450)

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