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Financial crime compliance in securities custody and settlement: ISSA’s principles and their implementation

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  • Staehli, Urs

Abstract

Until recently, the regulatory burden laid on the securities services industry was relatively light. Post financial crisis, a myriad of regulatory initiatives were taken impacting the securities services intermediaries. In August 2015, ISSA issued 17 Financial Crime Compliance Principles providing global guidance on the establishment and maintenance of cross-border securities custody relationships. ISSA is about to publish additional documents supporting the implementation of the principles with a view to cross-market adoption by the end of 2019.

Suggested Citation

  • Staehli, Urs, 2017. "Financial crime compliance in securities custody and settlement: ISSA’s principles and their implementation," Journal of Securities Operations & Custody, Henry Stewart Publications, vol. 9(3), pages 236-244, July.
    • Handle: RePEc:aza:jsoc00:y:2017:v:9:i:3:p:236-244
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    More about this item

    Keywords

    financial crime compliance; transparency; custody intermediation; segregated accounts; omnibus accounts; due diligence framework; implementation challenges;
    All these keywords.

    JEL classification:

    • G2 - Financial Economics - - Financial Institutions and Services
    • E5 - Macroeconomics and Monetary Economics - - Monetary Policy, Central Banking, and the Supply of Money and Credit
    • K22 - Law and Economics - - Regulation and Business Law - - - Business and Securities Law

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