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Methodology bases of a risk-based approach and national coordination | Policies should be regularly reviewed
| | Risk-based approach (RBA), R. 1
| | Efficient allocation of limited resources
| | The AML/CFT regime has an adequate address
| | Law enforcement authorities
| | Regulatory and supervisory agencies
| | There have to be effective mechanisms of cooperation and coordination, R. 2
| | Financing of proliferation of weapons of mass destruction
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3.3. Financial institutions: general definition and their activities and operations related to managing clients’ assets
Note: Numbering of activities and operations refers to their original classification from the General Glossary.
| 10. Safekeeping and administration
| | 11. Investing, administering or managing
| | 12. Underwriting and placement of
| | Other investment related insurance
| | On behalf of other persons
| | Managing of clients’ assets
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3.4. Financial institutions: other activities and operations
| Finance of commercial transactions
| | 4. Money or value transfer services (MVTS)
| | 5. Issuing and managing means of payment
| | 6. Financial guarantees and commitments
| | 8. Participation in securities issues
| | 13. Money and currency changing
| | Provision of related financial services
| | (a) Money market instruments
| | (c) Exchange, interest rate and index instruments
| | (d) Transferable securities
| | (e) Commodity futures trading
| | Does not apply to persons that provide financial institutions with message or support systems (See IN to Rec. 16)
| | Other activities and operations
| | Does not extend to consumer products
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Date: 2015-01-29; view: 1069
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