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Personas expuestas politicamente : medidas preventivas para el sector bancario
 
Author:Greenberg, Theodore S.; Gray, Larissa; Schantz, Delphine; Gardner, Carolin; Latham, Michael; Collection Title:Stolen Asset Recovery (StAR) initiative
Country:World; Date Stored:2012/04/27
Document Date:2012/01/01Document Type:Publication
SubTopics:Public Sector Corruption & Anticorruption Measures; Emerging Markets; Banks & Banking Reform; Corporate Law; E-BusinessLanguage:Spanish
Major Sector:Public Administration, Law, and Justice; FinanceRel. Proj ID:1W-Selected Issue Policy Paper On Politically Exposed Persons (Pep -- -- P116779;
Region:The World RegionReport Number:54250
Sub Sectors:Central government administration; BankingTF No/Name:TF094259-SELECTED ISSUE POLICY PAPER ON POLITICALLY EXPOSED PERSONS (PEPS)
Volume No:1 of 1  

Summary: The paper is focused on the banking sector, not on other financial and nonfinancial sectors vulnerable to the laundering of corrupt funds. These other sectors may find the recommendations and good practices provided in this paper relevant, but should analyze the findings of this paper in light of their particular circumstances and specific features. The paper includes a number of practical tools to help guide banks, regulators, and other public authorities. The paper is organized into four major parts: the remainder of this part (part one) sets out some of the main observations and trends in politically exposed person (PEPs) compliance and an analysis of the principal reasons for poor compliance and overall ineffectiveness of systems to detect and monitor PEPs. Part two focuses on the implementation of PEP measures by regulatory authorities and banks. Part three reviews the roles of the public authorities that are primarily involved in preventing abuse by corrupt PEPs. These authorities include the regulatory authority, which is responsible for providing guidance to banks and enforcing compliance, as well as the financial intelligence unit (FIU), which has a role in the context of suspicious transaction reports (STRs) on PEPs. Finally, part four considers some of the cross-cutting issues national cooperation, training, and resources that must be addressed by all stakeholders.

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