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'The Price of Compliance' - An Examination of the Decision-Making Process of Financial Compliance Actors within the United Kingdom's Anti-Money

“合规的代价”——英国反洗钱金融合规行为者决策过程的考察

基本信息

批准号：
2669191
负责人：
金额：
--
依托单位：
University of Manchester
依托单位国家：
英国
项目类别：
Studentship
财政年份：
2021
资助国家：
英国
起止时间：
2021 至无数据
项目状态：
未结题

来源：
https://gtr.ukri.org/projects?ref=studentship-2669191
关键词：
Price Compliance Examination Decision Making

项目摘要

'The Price of Compliance' - An Examination of the Decision-Making Process of Financial Compliance Actors within the United Kingdom's Anti-Money Laundering Regulatory Regime.The threat of money laundering (ML) to contemporary society has received notable attention domestically and internationally. In an attempt to combat this global phenomenon, increased compliance measures were introduced targeting purported 'gatekeepers' at risk of enabling ML. Financial institutions in the United Kingdom (UK), deemed to be amongst these 'gatekeepers', are subject to a stringent compliance regime. The recent 'FinCEN Files' leak exposes how the world's largest financial institutions facilitated large-scale ML and the complicity of the UK's financial institutions in enabling the flow of illicit monies generated from criminal activities such as organised crimes and political corruption from low-income countries (ICIJ, 2020).The research aims to develop an in-depth understanding of how financial professionals' perceptions and attitudes affect the determination of risk and suspicion; two concepts central to the implementation of anti-money laundering (AML) measures. This research will employ a qualitative methodology by conducting semi-structured interviews with compliance actors within financial institutions to explore their decision-making process. Accordingly, the findings may positively contribute to AML literature by practically informing better monitoring and reporting practices.

“合规的代价”-对英国反洗钱监管制度内金融合规行为者决策过程的审查洗钱对当代社会的威胁在国内和国际上都受到了显著关注。为了打击这一全球现象，针对所谓的“看门人”采取了更多的合规措施，这些措施有可能使ML成为可能。联合王国的金融机构被视为这些“看门人”之一，必须遵守严格的合规制度。最近的“FinCEN文件”泄漏暴露了世界上最大的金融机构如何促进大规模的ML以及英国金融机构的共谋，使来自低收入国家的有组织犯罪和政治腐败等犯罪活动产生的非法资金能够流动。（ICIJ，2020年）。该研究旨在深入了解金融专业人士的看法和态度如何影响风险和怀疑的确定;这两个概念对执行反洗钱措施至关重要。本研究将采用定性方法，对金融机构内的合规参与者进行半结构化访谈，以探索他们的决策过程。因此，调查结果可能会对反洗钱文献作出积极贡献，实际上为更好的监测和报告做法提供了信息。