AML/CFT and Anti-Corruption Compliance Regulation: Two Parallel Roads?

Eduard Ivanov

Working paper

AML/CFT and Anti-Corruption Compliance Regulation: Two Parallel Roads?

IACA Research Paper Series. IACA Research Paper Series. International Anti-Corruption Academy (IACA), 2018. No. 02.

Eduard Ivanov.

The paper presents a comparative legal study of compliance regulation in the areas of AML/CFT and anti-corruption. The main question is whether existing expirience of AML/CFT complaince regulation can/should be considered in the anti-corruption field. The author identifies distinctive features of two different approaches to regulation and the challenges arizing from these, and then analyzes the role of international soft law, national laws and regulations, and compliance programmes of multinational companies.

Research target: Law

Priority areas: law

Language: English

Text on another site

Keywords: compliance anti-corruption compliance money laundering international law Financial Action Task Force on Money Laundering (FATF)

Юридическая природа Сорока рекомендаций ФАТФ и Девяти специальных рекомендаций по борьбе с финансированием терроризма

Миннибаева А. А. Право и государство: теория и практика. 2010. № 11. С. 83-86.

The article is devoted to the definition of legal nature of the FATF Forty Recommendations on anti-money laundering and Nine Special Recommendations on Terrorist Financing. The first part of the article observes the creation and development of the FATF Forty Recommendations and Nine Special Recommendations on Terrorist Financing. Next, the article considers the question of determining the legal status of the recommendations of the FATF.

Added: Oct 19, 2012

Internationale Geldwäsche und Gewinnaufspürung

Edited by: U. Sieber, W. De Capitani, M. Löcker-Gläser. Trier: Europäische Rechtsakademie Trier, 1997.

In der Tagungsband sind die Materialien der Tagung der Europäischen Rechtsakademie und der Verienigung für Europäisches Strafrecht am 13. und 14. März 1997 zum Thema "Internationale Geldwäsche und Gewinnaufspürung" dargestellt.

Added: Mar 27, 2013

The Legitimacy of the Bolshevik Order, 1917-1918: Language Usage in Revolutionary Russian Law

Borisova T. Y. Law. LAW. Высшая школа экономики, 2012. No. 05.

The article describes and analyzes the legislative politics of revolutionary regimes in Russia in 1917-1918. The author aims to demonstrate the political meaning of the form of early Soviet legislation and its legitimizing effect. The revolutionary legislators often used specific language in the new laws as a vehicle of legitimacy, i.e. to make the people comply. The two main types of legal language used by the Bolsheviks can be interpreted from the perspective of different types of legitimacy. The revolutionary strategy used propagandistic legislation, written in the language of lay people, which urged them to act according to the new law. It can be seen as a request for acts of the people to legitimize the soviets. On the contrary, the traditional strategy employed old bureaucratic means of writing and distributing legislation to the local soviets. The language used by this strategy was closed to the understanding of a lay audience and implied traditions of obeying the law written in familiar legal language, which in turn implied rational/legal legitimacy. The second strategy had already become dominant after the first months of the Bolshevik revolution. This observation demonstrates that from the very beginning of their rule, Soviet leaders approached legislative policy from a technocratic point of view, which determined the further development of Soviet legal theory and practice.

Added: Jul 20, 2012

What factors drive the Russian banks license withdrawal

Peresetsky A. MPRA Paper. University Library of Munich, Germany, 2011. No. 41507.

The binary and multinomial logit models are applied for prediction of the Russian banks defaults (license withdrawals) using data from bank balance sheets and macroeconomic indicators. Significantly different models correspond to the two main grounds for license withdrawal: financial insolvency and money laundering. Analysis of data for the period 2005.2–2008.4 for accurate prediction of a bank’s financial insolvency, which is the focus of interest for the Russian Deposit Insurance Agency, demonstrates that the multinomial model doesn’t outperform the binary model.

Added: Mar 16, 2013

Третий Международный Молодежный Форум юристов (межвузовская научно-практическая конференция студентов и профессорско-преподавательского состава) 06 декабря 2011 года «Роль юристов в развитии социального государства»: сборник докладов

М.: Российский экономический университет имени Г.В. Плеханова, 2011.

Added: Dec 14, 2012

Mission Of The Order Of Malta As A Subject Of International Law In The 21st Century

Ivanov E. A. Law. LAW. Высшая школа экономики, 2014. No. WP BRP 40/LAW/2014.

The Order of Malta became a subject of international law with the emergence of classical international law in the 16th century and the concept of international legal personality and since that period has always been recognised as such. However, the form of its existence has undergone a number of transformations. Today, the Order of Malta constitutes a unique subject and the nature of its international legal personality represents a great scientific and practical interest. The author is of the opinion that both theories of recognition which exist in the doctrine of international law, i.e. the declarative and constitutive theories, apply to the status of the Order of Malta. This paper analyses the nature of international legal personality and the mission of the Order of Malta as a subject of international law in the 21st century. Special attention is paid to the Constitution, the Government and the judicial system of the Order of Malta, as well as cooperation between the Order and the Russian Federation.

Added: Oct 2, 2014

Liability for money laundering

Zhalinsky A. E. In bk.: Преступность и уголовное право в эпоху глобализации. Первая сессия Международного форума. Beijing: Восточно-Китайский Политико-Юридический Институт, 2009. P. 305-314.

Added: Sep 25, 2013

Geldwäsche in Osteuropa

Ivanov E. A. In bk.: Internationale Geldwäsche und Gewinnaufspürung. Trier: Europäische Rechtsakademie Trier, 1997.

Der Autor präsentiert seine Analyse der Geldwäscheformen und Geldwäschetechniken in der Russischen Föderation und in den anderen Osteuropäschen Ländern.

Added: Mar 27, 2013

Discouragement through incentives

Dmitri V. Vinogradov, Elena V. Shadrina. Working Paper 12-2018. Working Paper 12-2018 . University of Glasgow, 2018

Incentives are usually designed to promote desirable behaviour. In many instances, however, even in the absence of an incentive scheme, people may deliberately choose to act as desired. In such a case, introducing a system of incentives may discourage people from doing this. The discouragement mechanism works through the pos- sibility of errors that may wrongly classify the observed behaviour as undesirable, and hence trigger penalties. The effect is amplified by pessimism, which leads to an overestimation of the error probability, and by the disappointment from errors, which increases the disutility of unfair penalties. This approach is capable of ex- plaining two typical observations for enterprises/industries subject to environmental regulation – overcompliance (excessive investment in compliance) and discretionary inspections by regulators (raised frequency of inspections to enterprises suspected of non-compliance).

Added: Jan 15, 2019

Условия въезда иностранцев на территорию государства

Ганюшкина Е. Б. Право. Журнал Высшей школы экономики. 2010. № 4. С. 72-84.

States may stipulate laws and rules, specifying conditions for foreigners to be admitted to another state's territory. Tightening requirements and making new restrictions for people who are going to visit a foreign country are one of efficient tools of foreign policy. International law has no norms obliging states to motivate the denial for a foreigner's admission into a foreign territory. The state cannot deny the admission for a foreigner if it contradicts obligations of the state implied in agreements concluded between the state of residence and an international intergovernmental organisation or in the treaties on privileges and immunities of international organisations.

Added: Oct 27, 2012

"Aspetti giuridici del BRICS". Atti del seminario scientifico di San Pietroburgo.

Alexeeva T. A. In bk.: Roma e America. Diritto romano comune. Modena: Stem Mucchi Editore, 2013. P. 257-258.

The article deals with results of the scientific seminar on "Legal Aspects of the BRICS", held in St. Petersburg with the participation of law professors from universities in the BRICS countries. They are represented in the collection of articles with the same title. The author presents the conclusion about the necessity of comparative studies of legal systems of the BRICS countries for the successful cooperation in the framework of the BRICS group, notes the potential of a harmonization of the legal regulation of all spheres of cooperation, besides of the use of the international law.

Added: Jan 10, 2014

Международные институты защиты прав человека. Система ООН: Учебное пособие

Барандова Т. Л. СПб.: НОРМА, 2010.

Added: Mar 19, 2013

Тенденции развития государства, права и политики в России и мире: Материалы Третьей международной научно-практической конференции

Edited by: В. Быченков Калуга: КФ РПА Минюста России, 2010.

Added: Dec 14, 2012

Abelian automorphism groups of cubic fourfolds

Mayanskiy E. arxiv.org. math. Cornell University, 2013. No. 5150.

We list all finite abelian groups which act effectively on smooth cubic fourfolds.

Added: Nov 19, 2013

Использование временных характеристик в преподавании курса "Юридическая техника"

Тенилова Т. Л. Юридическая техника. 2009. № 3. С. 309-316.

Added: Dec 12, 2012

Некоторые проблемы Конституции Российской Федерации

Лукьянова Е. А. Конституционное и муниципальное право. 2007. № 15. С. 4-9.

Added: Nov 19, 2013

Особенности правового статуса Контрольно-счетной палаты Санкт-Петербурга

Янкевич С. В. Право и экономика. 2013. № 7. С. 55-62.

Added: Sep 13, 2013

Пятые Всероссийские Державинские чтения (Москва, 15 декабря 2009 года). В 7 книгах

Edited by: М. М. Рассолов Кн. 1: Проблемы теории и истории государства и права. М.: РПА Минюста России, 2010.

Added: Dec 14, 2012

Russian Competition law in light of the principles of ex post and ex ante

Totyev K. Y. Law. LAW. Высшая школа экономики, 2014

This article is devoted to the legitimation and application of the standards of ex post and ex ante by courts and the executive authorities in the sphere of competition regulation. The postulates of ex post and ex ante are considered as legal principles. The principle of ex post is intended solely for judicial and administrative application; it has a deontological framework; it assumes that the legality of the activity of economic entities is assessed only on the basis of positive legal criteria in terms of the subjective rights violated; it is limited to a particular case. The traditional approach to the principle of ex post limits the scope of its application on the subjects and excessively expands its objects. The postulate of ex ante has a utilitarian basis which assumes the assessment of the application of relevant rules in the future. One of the main aims of the article is to refute the common view of lawyers and economists that a legislator applies principle of ex ante not being bound by principle of ex post, while it is the other way around for the courts and the executive authorities. The principle of ex ante may be applied not only in the process of the creation of new rules but also at the application stage for existing rules on economic competition. This is justified because the arguments of the courts and the executive authorities about a refusal to take into account the consequences of a decision in a particular case are not convincing.

Added: Apr 17, 2014

Актуальные проблемы гуманитарных и социальных исследований. Материалы X Региональной научной конференции молодых ученых Сибири в области гуманитарных и социальных наук

Edited by: А. М. Аблажей, Н. В. Головко Новосибирск: Новосибирский государственный университет, 2012.

Added: Jan 21, 2013

Право на контрдемонстрации: угроза или индикатор уровня демократии?

Храмова Т. М. Конституционное и муниципальное право. 2012. № 7. С. 10-16.

The article is devoted to a particular form of freedom of assembly — the right to counter-demonstrate. The author underlines the value of this right as an element of democratic society, but also acknowledges the risk of violent actions among participants of opposing demonstrations. Due to this risk, the government may adopt adequate measures restricting the right to counter-demonstrate, certain types of which are analyzed in this paper.

Added: Jan 10, 2013

Legislation as a Source of Law in Late Imperial Russia

Borisova T. Y. Law. LAW. Высшая школа экономики, 2012. No. 04.

This article analyzes the usage of legislation as a legal source in the Russian Empire through the phenomenon of the publication of law. The author argues that the absence of separation of executive, legislative and court powers had definite negative effects for lawmaking and enforcement. The legislative politics of Russian emperors could be analyzed using Jürgen Habermas‘ concept of ―representative publicness‖ (representative öffentlichkeit): to a large extent, the tsars considered law as both an assertion of authority and a means of governing. Their actions towards strengthening legality in the state (i.e. the compulsory publication of legislation) were in essence symbolic or theatrical. In fact, since the separation of laws from executive acts did not exist in imperial Russia, the legislation was published (or stayed unpublished) exclusively for state administrators. The conflict in conceptions of legality between state and civil actors in the second half of the nineteenth century was not of a merely political nature. The article demonstrates that there was a public demand for publication of legislation; insufficient accessibility of legal information negatively influenced social and economic development in imperial Russia.

Added: Jul 20, 2012

Правовое регулирование градостроительной деятельности и землепользования в Российской Федерации и в городе Москве. Учебное пособие

Гринев В. П. М.: ГАСИС, 2008.

Added: Nov 14, 2013

Россия и Договор Энергетической хартии

Белый А. В. ЭКО. 2010. № 6. С. 97-114.

Development of standards of international controllability is reviewed in the article. Institutional approach is applied to development of international legal regime of Energy Charter. Definition of controllability is connected to development of international standards of dispute settlement, which are described in the article in detail. In connection with controllability, Russian interest, defense of investment in European Union and ecological investment encouragement, is reviewed in the article.

мировое управление и управляемость, Мировая экономика, международное экономическое право, энергетическая хартия, International control and controllability, International economics, international economic law, Energy Charter

Added: Oct 4, 2012

Культурные аспекты и правоприменительная практика в области прав человека в Кавказском регионе

Рябинин А. Л. Права человека в современном мире. WP18. НИУ ВШЭ, 2012. № 02.

Added: Jul 24, 2012

Наука международного частного права: французская школа бартолистов XV-XVI вв.

Гетьман-Павлова И. В. Государство и право. 2010. № 6. С. 84-92.

международное частное право; недвижимость; ; школа бартолистов; бартолисты; теория статутов; статуарная теория/

Added: Oct 1, 2012