Money Laundering: business compliance

Stuart Bazley is the Managing Director of Compliance Services at the Momenta Group.Stuart is a Barrister and holds a Masters degree in Banking and Securities Law. He has worked in the Financial Services Industry for over 20 years, including five years as Head of Compliance and UK General Counsel for Edward Jones Ltd, one of the largest US private client stockbrokers. Stuart has considerable experience of a wide range of regulatory matters, including conduct of business rules, economic crime, money laundering and enforcement actions. Stuart has worked closely with APCIMS (the trade association for private client stockbrokers an fund managers) on their regulatory committee and money laundering advisory group.Lecturing extensively on Financial Services regulation in the UK and abroad, he is co-author of 'Risk Based Compliance', published by ButterworthsCaroline Foster qualified as a solicitor in 1987. She worked in private practice for seven years, before joining Hill Samuel Investment Services Group as a legal adviser.Since October 1999, she has been with private client broker/dealer Edward Jones Limited where she is Compliance Solicitor, Deputy Legal Counsel, and Deputy MLRO. She is a Member of the Securities Institute, and sits on the Regulatory Committee of the Association of Private Client Investment Managers and Stockbrokers.Caroline has written and presented seminars on money laundering, and is the author of the money laundering module of the Postgraduate Diploma on Financial Services Law offered by London Metropolitan University and Informa Distance Learning.Caroline was a member of the Interdiction of Terrorist Property Working Group which reported on the Legal Implications of the Financial War on Terror in July 2002. In addition to 'Money Laundering: Business Compliance', Caroline is also working on a new book about 'Know Your Customer' law and regulation.