LWF4 Eng

Syllabus H1. Fraudulent and Criminal Behaviour 1 / 1

a) Recognise the nature and legal control over insider dealing.
b) Recognise the nature and legal control over market abuse.
c) Recognise the nature and legal control over money laundering including the following policies, procedures and controls:
i) risk management practices:
ii) internal controls:
iii) customer due diligence:
iv) reliance and record keeping;
v) the monitoring and management of compliance with, and the internal communication of, such policies, controls and procedures
d) Recognise the nature and legal control over bribery.
e) Discuss potential criminal activity in the operation, management and liquidation of companies, including the failure to prevent the facilitation of tax evasion and the meaning of relevant body
f) Recognise the nature and legal control over fraudulent and wrongful trading.
Fraudulent and Criminal Behaviour