131. Investment firms should implement appropriate processes and procedures to ensure that they …

Investment firms should implement appropriate processes and procedures to ensure that they comply with their obligations in the context of combating money laundering and terrorist financing. Investment firms should assess their exposure to the risk that they may be used for the purpose of ML/TF and, where necessary, take mitigating measures to reduce those risks as well as the operational and reputational risks linked to them. Investment firms should take measures to ensure that their staff are aware of such ML/TF risks and the impact that ML/TF has on the investment firm and the integrity of the financial system.

1. Overview

1.1 References

1.2 Identified Requirements

1.3 Related Standards

2. Identified Requirements

3. Related Standards

• EBA -

  EN: Guidelines and other publications of the European Banking Authority (EBA), https://www.eba.europa.eu/. © European Banking Authority. Reproduction is authorised provided the source is acknowledged (EBA legal notice). Divided into sections and converted into the GRCA format, the wording unchanged. Only the versions published by the EBA are authoritative.

  DE: Leitlinien und weitere Veröffentlichungen der Europäischen Bankenaufsichtsbehörde (EBA), https://www.eba.europa.eu/. © European Banking Authority. Wiedergabe mit Quellenangabe gestattet (Rechtlicher Hinweis der EBA). In Abschnitte aufgeteilt und in das GRCA-Format umgewandelt, der Wortlaut unverändert. Maßgeblich sind allein die von der EBA veröffentlichten Fassungen.