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Compliance Links


Organization / Website
Comment / Brief Description / Local Relevance
Alert Global Media Inc., Miami, Florida
  • N.B. Majority of content requires subscription
  • US Money laundering advisory service
  • Resource library
  • Global laundering controls
  • Organization of training events
  • Know your customer
        USA
American Bar Association, Chicago
  • News, resources, etc.
  • Publications online and to order
        USA
Asia Pacific Group on Money Laundering
  • BankOrganization for the enforcement/implementation of international anti-money laundering standards
  • Prevention guidelines and practices
  • Model and comparative legislations
  • Documents such as typology reports, self assessment exercises.
        Asia Pacific / International
Association of Foreign Banks in Switzerland, Zurich
  • Organization for banks and branches of foreign banks
  • Links to articles, presentations and speeches
  • Links to other organizations in the financial sector, policy and economy, research links
        Switzerland / International
Bank for International Settlements (BIS) / Bank für internationalen Zahlungsausgleich (BIZ) (Basle)
  • Forum for international monetary and financial cooperation
  • Central Bank research hub
  • Publications (Basle Committee on Banking Supervision, Committee on Payment and Settlement Systems, Conference Papers, Policy Papers and many more)
  • Press releases
  • Links to all Central Banks
  • Articles and speeches
        International
Bank of England (London)
  • Market information
  • Various UK banking systems
  • Links to European Central Banks
  • Statistics (domestic and foreign)
  • Press releases/publications
        UK/EC
BKA, Bundeskriminalamt Wiesbaden, Germany
  • Various reports on specific topics (organized crime, trafficking in human beings, etc)
        Germany, International
BNA International Limited, London
  • World Tax and Law Report (free on-line)
  • Information on tax, intellectual property, media and communications, securities law
  • Events
  • Note: Some content requires subscription
        International
British Bankers Association, London
  • Principal representative body for banks active in UK, approx. 250 member banks
  • Bank codes (to order)
  • Policy notes
  • BBA Newsroom
  • Publications
  • Westminster Watch, Useful links
        United Kingdom
Bundesanstalt für Finanzdienstleistungsaufsicht (BAFIN), Federal Financial Supervisory Authority, Bonn & Frankfurt am Main
  • Legislation
  • Guidelines
  • Databases and statistics
  • Regulations
  • International affairs
        Germany, International
Canadian Centre for Ethics and Corporate Policy, Ontario
  • Links to many other websites on Corporate Ethics
  • Newsletter Corporate Ethics
  • Articles and speeches
        Canada, USA, International
CASH (Zurich)
  • Swiss economic and financial newspaper
  • Note: some content requires subscription
        Switzerland
Central Banking Publications Ltd., London
  • Central bank publications, financial regulator newsletter, headlines
  • List of links to financial regulatory agencies all over the world
        UK / International
Central Intelligence Agency (CIA), Washington DC
  • Useful publications, including the World Fact Book and Chiefs of State
        USA / International
Committee of European Insurance and Occupational Pensions Supervision, Frankfurt am Main
  • Committee set up by EU for initiation of measures, implementation of EU directives, supervisory cooperation, etc
  • Publications: standards, guidelines and recommendations; protocols, speeches
        EU
Der Schweizer Treuhänder
  • Specialist newspaper for trustees
        Switzerland
Deutsche Bundesbank, Frankfurt a. Main
  • Banking supervision
  • Statistics
  • Economics
  • Publications
        Germany
Die Welt (Berlin)
  • German daily newspaper
        Germany
Dutch National Bank / De Nederlandsche Bank, Amsterdam
  • Dutch Central Bank
  • Supervision
  • Research and statistics
        Netherlands
EUREX
  • Largest futures and options exchange operated by Deusche Börse AG and SWX
  • Rules and regulations
  • News and events
  • Knowledge centre
        International
Euronext, Amsterdam
  • Document centre including rules and regulations, products, etc.
  • Statistics center
  • Links to other financial centers
        EU
European Anti-Fraud Office, Brussels
  • Body for prevention of fraud, corruption and misconduct within EU
  • Legislation
  • Reports, brochures, links to other partner organizations
        EU
European Central Bank / Europäische Zentralbank, Frankfurt a. Main
  • Monetary policy
  • Banknotes and coins
  • Payments and securities
  • Press releases/publications
  • Statistics
        European Union
European Committee for Banking Standards, Brussels
  • Enhancement of European technical banking infrastructure
  • IBAN information
  • Publications, news and projects
        International
European Corporate Governance Institute, Brussels
  • Forum for corporate governance issues
  • Searchable collection of international corporate governance codes
  • Research/publications
        International
European Union Brussels
  • Links to all European institutions (including European Central and European Investment Bank)
  • Policies
  • Legal texts (Eurolex)
  • Publication
        European Union
Europol, The Hague, NL
  • European law enforcement
  • Publications, including reports, serious crime overviews
  • Legal texts
        EU
Executive Service of the Commission for the Prevention of Money Laundering, Madrid
  • Spanish money laundering control authority
  • Reports and publications
  • International and national links
  • Note: some content available in Spanish only
        Spain / EU
Eye on Integrity (Midi, Inc.), Princeton N.J.
  • Compliance learning solutions
  • Compliance and ethics library
  • Articles and press releases
        USA
Federal Bureau of Investigation (FBI), Washington D.C.
  • Counterterrorism
  • Reports and publications (e.g. cybercrime, terrorism, crime statistics)
  • Most wanted lists
        USA / International
Federal Office of Economics and Export Control / Bundesamt für Wirtschaft und Ausfuhrkontrolle, Eschorn, Germany
  • German export/import control authority
  • Publications
  • Links to EU sanctions (in German only)
        Germany / EU
Federal Office of Private Insurance / Bundesamt für Privatversicherungen, Berne
  • Supervision, licensing, guidelines, communications
  • Links to laws and regulations governing private insurance industry in Switzerland
  • Court decisions on private insurance topics
  • Press releases
  • Publications
        Switzerland
Financial Action Task Force on Money Laundering (FATF), Paris
  • FATF standards (40 recommendations and 9 special recommendations)
  • Publications and documents (AML and terrorist financing, NCCT reports, typologies)
  • Links to other initiatives and organizations
        International
Financial Crimes Enforcement Network (FINCEN), USA
  • Overview of regulations and procedures
  • Links to international organizations, Financial Intelligence Units, Regional Groups, etc.
  • Publications (testimony, rulings, fact sheets etc.)
  • News releases
        USA, International
Financial Scandals
  • Links to:
  • Classic financial and corporate scandals
  • Political corruption
  • Money laundering
  • Official regulatory and anti-fraud organizations
  • Organizations fighting financial crime
        U.K. / International
Financial Services Authority (FSA), London
  • Overview of legal framework
  • Publications (including Financial Risk Outlook), FSA library (consultative and discussion papers, policy statements)
  • FSA Handbook
  • Financial Crime Centre initiatives
        UK
Financial Stability Forum, Basel
  • Forum for central banks, authorities and regulators
  • Publications of various papers, e.g. implementation of standards, offshore financial centers, etc.
  • Compendium of standards
        Switzerland / International
Finanz und Wirtschaft, Zurich
  • Financial and economic information
  • Seminars
  • Note: Newspaper content requires subscription
        Switzerland
Frankfurter Allgemeine Zeitung, Frankfurt a.Main
  • German daily newspaper
        Germany
FWB, Frankfurter Wertpapier Börse, Frankfurt a. Main
  • Gruppe Deutsche Börse
  • Market information
  • Info-center (rules & regulations, statistics, training center, etc)
        Germany
Global Investor, Petersfield, UK
  • Information and resources for financial community
  • Bookshop, courses and conferences, publishing
  • Financial glossary
        International
Hieros Gamos Legal Research Center, Houston, Texas
  • Links to bar associations, legal associations, law schools, law firms, law sites, government sites all over the world
  • Legal Journals
  • Seminars
        International
Institute for Global Ethics, Maine, USA
  • Ethics education "Ethical Fitness"
  • News releases
  • Ethics Newsline with searchable archive
  • Seminars and training
  • Online bookstore
        USA
International Accounting Standards Board, London
  • Independent, privately-funded organization for account standard setting
  • Accounting standards and interpretations
  • Current issues (draft standards and discussion papers)
  • News and archive
        U.K. / International
International Anti-Money Laundering Information Network (IMoLIN), Vienna
  • International laws and standards
  • Research and analysis (publications by governments and international organizations)
  • Links to various ML organizations
        International
International Association of Insurers Supervisors, Basel
  • Organization for the promotion of cooperation between insurance regulators and coordination with other regulators
  • Principles, standards and guidelines
  • Database of laws and reinsurers (requires registration)
  • Links to international websites
        Switzerland / International
International Centre for the Prevention of Crime, Montreal
  • Information on crime prevention policies
  • Policy and strategy documents
  • Crime prevention practices
  • Presentations
  • Links to international websites on crime prevention
        International
International Chamber of Commerce (ICC)
  • Setting business policy (e.g. anti-corruption, banking techniques and practices)
  • Codes, rules and model contracts
  • Policy statements
  • News and annual reports
  • Useful links (e.g. to ICC Commercial Crime Services, Corporate Governance ICC Guide)
        International
International Investor Newsletter, New York
  • Links to various newsletters (including e.g. "The Compliance Reporter")
  • Note: Subscription required
        USA / International
International Organization of Securities Commissions (IOSCO), Madrid
  • "30 Principles of Securities Regulation", documentation (in pdf format)
  • Seminars and training
  • Links and references
        International
International Policy Institute for Counter-Terrorism, Herzliya, Israel
  • Research institute and "think tank" on counter terrorism
  • Various articles by topic
  • Comprehensive database on terrorist organizations
        Israel / International
Internet-Fraud.com, Wellington, New Zealand
  • Independent organization collecting information on internet fraud
  • Examples of typical scams from various countries
        International
Interpol, Lyon, France
  • Fact sheets on terrorism, financial crime (including fraud alerts), drug trafficking, corruption, etc.
  • Wanted notices
  • Property crime, including details of stolen works of art
        International
JP Morgan (adr.com), New York
  • ADRs: American Depositary Receipts overview
  • Glossary
  • Market overview
  • Research
        USA / International
Judgments of the Swiss Federal Court; Berne
  • Overview of judgments by the Swiss Federal Court (BGE)
        Switzerland
Jurathek
  • Overview of German laws and judgments
  • Links to various legal websites (courts, resources, etc.)
  • Note: Content in German only
        Germany
KMPG Switzerland, Links
  • Comprehensive overview of links to international and national organizations and administrative bodies
        Switzerland / International
KPMG Switzerland
  • Unofficial translations of Swiss legislative texts regarding banking and finance (free as pdf download)
  • Library
        International
Library of Swiss Federal Laws / Systematische Sammlung des Bundesrechts, Berne
  • Note: Content available in German and French only
        Switzerland
London Stock Exchange
  • General information on the stock exchange and market
  • Rules and regulations
  • Statistics, etc.
  • Investor relations resources
        United Kingdom
Monetary Union for Business, Richmond UK
  • Companies and the Euro
  • Conferences and services
  • Economy and the Euro
  • Directory of consultants, law firms, etc.
        EU
Money Laundering Control Authority / Kontrollstelle für die Bekämpfung der Geldwäscherei, Berne
  • Laws and regulations
  • Guidelines and check-lists, interpretation and application of Money Laundering Act
        Switzerland
Money Laundering Reporting Office (MROS) / Meldestelle für Geldwäscherei; Berne (part of Federal Office for Police Matters)
  • Links to reporting forms / checklists
        Switzerland
National Bank of Austria / Österrreichische Nationalbank, Vienna
  • Austrian Central Bank
  • Monetary policy and economics
  • Statistics
  • Publications
  • Glossary/dictionary
        Austria
National Bank of Belgium, Brussels
  • Belgian Central Bank
  • Economic information/macroeconomic statistics
  • Publications
        Belgium
National Bank of France / Banque de France, Paris
  • French Central Bank
  • Banking regulation and supervision
  • Monetary policy and markets
  • Publications and research
  • Statistics and surveys
        France
National Bank of Italy / Banca d'Italia, Rome
  • Italian Central Bank
  • Banking supervision
  • Research/statistics
  • Monetary policy and markets
  • Publications/library and historical archives
        Italy
National Bank of Luxembourg / Banque Centrale du Luxembourg
  • Luxembourg Central Bank
  • Regulatory reporting
  • Publications, news
  • Statistics
        Luxembourg / EU
National Bank of Portugal / Banco de Portugal, Lisbon
  • Portuguese Central Bank
  • Legislation
  • Statistics, economic indicators
  • Publications, glossary
        Portugal/EU
National Bank of Spain / Banco de España; Madrid
  • Spanish Central Bank
  • Legislation / supervision
  • Reports and publications
  • Statistics
        Spain / EU
National Criminal Justice Reference Services, Rockville, USA
  • Federally funded resource collection
  • Research, policy and program documents
  • Study papers on various crime issues
        USA / International
National Fraud Information Center , Washington D.C.
  • Internet fraud
  • Scams against businesses
  • Telemarketing fraud (general tips
  • Fraud center news
        USA
Neue Zürcher Zeitung, Zurich
  • Swiss daily newspaper (German); some news stories available in English
        Switzerland
NY Stock Exchange, New York
  • Regulation
  • Market information
  • News and events
  • Publications (NYSE newsletter - pdf download, NYSE magazine online)
        USA / International
Office of Foreign Assets Control (OFAC), Washington D.C.
  • Details of US sanctions program and country summaries
  • Office of Foreign Assets Control (OFAC), Washington D.C.
  • List of SDNs (specially designated nationals) and blocked persons
  • Legal documents
        USA
Organization of American States (OAS), Washington D.C.
  • As part of "key issues": "Combating Corruption", "United against Terrorism", "Evaluating Progress against Illegal Drugs"
  • Links to corresponding documentation, conventions, discussion papers
  • Sectors and topics with links to anti-corruption sites and legal and services information
        International
PriceWaterhouseCoopers, Switzerland
  • Search option: "Compliance" - articles/publications relating to compliance issues
  • Via "Industries: Banks, Capital Markets, Investment Management", links to books and brochures
        Switzerland / international
SourceMedia, USA (formerly Thomson Financial Publishing), New York
  • News resources on banking and investment management, etc.
  • Subscription to various publications
        USA / International
Standard & Poor's, New York
  • Credit ratings
  • Indices
  • Equity research
  • Note: Requires registration
        International
State Secretariat for Economic Affairs / Staatssekretariat für Wirtschaft, Berne
  • Information on countries
  • Sanctions (in German only)
  • Export controls
  • Publications and reports
        Switzerland
Swiss Bankers Association/ Schweizerische Bankiervereinigung (Basle)
  • Promotes Swiss Financial Center
  • Codes of conduct (guidelines/agreements)
  • Links to international and Swiss banking associations
  • Draft legislation
  • Publications
        Switzerland, International
Swiss Federal Banking Commission (SFBC) / Eidg. Bankenkommission (EBK), Berne
  • SFBC Money Laundering Ordinance
  • Regulation overview
  • Links to SFBC circulars and newsletters
  • Links to federal authorities and public institutions; national associations and organizations
  • Publications
  • Note: Most content available in German or French with links to unofficial English translations
        Switzerland
Swiss Federal Data Protection Commissioner, Berne
  • Laws and comments on data protection issues in Switzerland
  • Swiss Federal and Canton Statutes (Data Protection Act and Ordinance)
  • Regulations and sample contracts of Council of Europe
  • European Union regulations
  • Addresses of national data protection authorities in Europe
  • News concerning data protection
        Switzerland / International
Swiss Funds Association / Schweizerischer Anlagefondsverband, Basel
  • Representative organization for the Swiss funds industry
  • Self-regulation and standard setting
  • Recommendations
  • Code of professional ethics
  • Publications, presentations
        Switzerland
Swiss Insurance Association / Schweizerischer Versicherungsverband, Zurich
        Switzerland / International
Swiss National Bank / Schweizerische Nationalbank, Zurich
  • Swiss central bank
  • Monetary policy
  • Data and Statistics
  • News
        Switzerland
Swiss Private Bankers' Association, Geneva
  • Association of private banks in Switzerland
  • Links to the 13 member banks
  • Publications, annual reports, books
  • Links to regulatory and public bodies, banking associations, legislation, etc.
        Switzerland
Swiss Stock Exchange (SWX), Zurich
  • Swiss national stock exchange
  • Securities exchange services provider
  • Publications including rules and regulations, product information, etc.
        Switzerland
Swiss Takeover Board / Übernahmekommission, Zurich
  • Overview of Board activities
  • Legal and additional texts
  • Links to other authorities and stock exchanges
        Switzerland
Teledata, Zurich
  • Credit and business information provider
  • Extracts from commercial register
  • Credit rating and order service
  • Ownership and equity relationships
  • Company news/annual reports
  • Note: Requires subscription
        Switzerland
The Compliance Exchange, U.K.
  • Excellent online research facility for compliance officers
  • Links to regulators, exchanges, associations, laws and rules, accountancy and law firms
  • Links to news and media world-wide
        UK / International
The Compliance Reporter, New York
  • International news provider on compliance issues, including regulatory alerts, money laundering, brokerage and investment management
  • Note: Requires subscription
        International
The European Business Ethics Network (EBEN)
  • Non-profit organization for the promotion of business ethics in European private industry
  • Newsletters (requires membership)
  • Links to training and other institutes
        E.U.
The Group of Thirty, Washington D.C.
  • International non-profit organization for international economic and financial issues
  • Publications by year (1980 - 2005)
        USA / International
The Institute of Chief Risk Officers (Riskinstitute.ch), Geneva
  • Links to risk web sites
  • Risk publications
        Switzerland / International
The Securities and Futures Commission Hong Kong, Hong Kong
  • Specific information for, e.g. compliance officers
  • Legislation and regulatory handbook
  • Prospectuses, takeovers and mergers
  • Media
        Hong Kong / International
The Wolfsberg Group
  • Group of global banks for development of international industry standards
  • "Wolfsberg Principles" on anti-money laundering
  • Other standards on countering financing of terrorism, monitoring, screening and searching, etc.
        International
Transparency International, Berlin
  • Non-government body for the fight against corruption
  • "Corruption Fighters Tool Kit
  • Indices and surveys (including global Corruption Perception Index)
  • Global Corruption Report
  • Research
        International
United Nations (UN), New York and Geneva
  • UN Documents
  • UN Member States
  • Conferences and Events
        International
United Nations Office on Drugs and Crime, Vienna
  • Office dedicated to the fight against illicit drugs and international crime
  • Action against terrorism program
  • Global programs against corruption, transnational organized crime, trafficking in human beings, money laundering
  • UN treaties and resolutions and legal advisory program
        International
University of Exeter, U.K.
  • Money laundering in the EU
  • Links to various topics (including EU directives)
  • Note: Content published in 2002
        EU
US Department of State, Counterterrorism Office, Washington, DC
  • Coordination of counterterrorism measures in the US
  • Links to various units, e.g. patterns of global terrorism, counterterrorism financing unit
  • Links to other US Government sites
        USA / International
US Department of the Treasury, Washington D.C.
  • Domestic finance and economic policy
  • Links to terrorism finance and financial intelligence, OFAC SDN list
        USA
US Securities and Exchange Commission (SEC), Washington D.C.
  • Legislation & rules
  • Regulatory actions (proposed rules, etc.)
  • News and public statements
  • Litigation
        USA / International
Verband Schweizerischer Vermögensverwalter (VSV), Zurich
  • Organization and Self Regulation Organization (SRO) for independent asset managers in Switzerland (SRO VSV)
  • Guidelines regarding anti-money laundering
  • Links to other organizations and authorities (e.g. Convention of Independent Financial Advisors CIFA)
  • Note: Content in German, French & Italian only
        Switzerland
Verwaltungsgericht Zurich / Administrative Court
  • A selection of decisions of the Administrative Court from 2000
  • Note: Content in German only
        Switzerland
White House, Washington D.C.
  • News from the White House
  • Current issues
        USA
World Bank, Washington D.C.
  • Hot-topics: anti-corruption
  • Anti-corruption website: Tools and data, publications, surveys, etc.
        International
World Economic Forum, Geneva
  • WEF initiatives
  • Publications, reports, etc.
        International
World Check
  • Find PEPs and Crooks
  • Database of known heightened-risk individuals and businesses
International
World Federation of Exchanges, Paris
  • Trade organization for regulated securities and derivative markets worldwide
  • List of all members worldwide and links thereto
  • Statistics and publications
  • Market information (market holidays)
        International
World Trade Organization, Geneva
  • Legal texts
  • Trade statistics
  • Resources, including economic research and analysis
  • Trade topics, including electronic commerce
        International
World's Biggest Competition, Anti-trust and Regulatory Sites list
  • Links to anti-trust laws, anti-trust authorities, etc. all over the world
  • News and articles on anti-trust law, regulation, etc.
        International

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