الجهات المختصة بالرقابة على المرخص له عن عملية غسل الأموال في سوق الأوراق المالية (دراسة مقارنة)

عدنان جبير جمر, علي; حسين علي الركابي, أ.م.د. سماح

	الجهات المختصة بالرقابة على المرخص له عن عملية غسل الأموال في سوق الأوراق المالية (دراسة مقارنة)
AL-Qadisiya Journal For Law and Political Sciences
Volume 11, Issue 2, September 2020, Pages 39-76 PDF (1.35 M)
Authors
علي عدنان جبير جمر; أ.م.د. سماح حسين علي الركابي
AL-Qadisiya Journal
Abstract
Since the stock market has a prominent role in the development and development of national investment, the countries have developed and developed and work to protect it, and did not undermine confidence in it due to illegal practices, most notably money laundering, which aims to legitimize funds that are originally of non-origin Therefore, the legislation of most countries of the world has put in place a special control system to combat the money laundering process in the market. Such legislation is the legislation of the US, Kuwaiti and Iraqi, and the licensed person plays a large role in the operation of the securities market, Through which the client is su In addition, the regulatory authorities have imposed on them the task of monitoring and following up their implementation to ensure that the authorized person applies the provisions of the Anti-Money Laundering Law and the regulations, instructions and decisions issued in implementation. And the procedures and internal controls adopted by it for this purpose, these agencies are the task of follow-up and control, whether by the Compliance Officer or by other regulatory bodies stipulated by the Iraqi legislation.
Keywords
Compliance Officer; Supervision; Securities Commission; Broker; Stock Market; Licensee

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