AML and counter-terrorist financing—annual review

The following Risk & Compliance precedent provides comprehensive and up to date legal information covering:

  • AML and counter-terrorist financing—annual review

AML and counter-terrorist financing—annual review

    1. 1

      General information

      Review period[Insert review period]
      Date of review[Insert date]
      Person(s) conducting review[Insert name(s)]
    1. 2

      Data

      CriteriaIn the last [insert period, eg quarter]Over the last 12 months
      Total number of Suspicious activity reports (SARs) received[Insert number][Insert number]
      Number of SARs relating to money laundering or terrorist financing[Insert number][Insert number]
      Number of SARs relating to money laundering or terrorist financing reported to the National Crime Agency (NCA)[Insert number][Insert number]
      Number of SARs relating to money laundering or terrorist financing reported to the NCA requiring consent/a defence (DSARs)[Insert number][Insert number]
      Number of DSARs for which consent has been granted[Insert number][Insert number]
      Number of DSARs for which consent has been refused[Insert number][Insert number]
      Number of DSARs reported to NCA for which a decision on consent is awaited[Insert number][Insert number]
      Number of SARs relating to money laundering or terrorist financing not reported to the NCA[Insert number][Insert number]
      Number of superSARs received[Insert number][Insert number]
    1. 3

      Review and findings

      Have you performed a fresh money laundering and terrorist financing organisation-wide risk assessment in the last year?☐ Yes
      ☐ No
      If no, ensure you set an action point at section4 to perform a fresh money laundering and terrorist financing organisation-wide risk

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