Financial sanctions [quarterly] monitoring review
Financial sanctions [quarterly] monitoring review

The following Practice Compliance guidance note provides comprehensive and up to date legal information covering:

  • Financial sanctions [quarterly] monitoring review
  • General information
  • Screening
  • Licences
  • Breach data
  • Record keeping
  • Key findings
  • Actions identified as a result of this review

General information

Date of review [Insert date]
Person(s) conducting review [Insert name(s)]

Screening

Considering your screening process:

Is your screening process working as required (eg if you outsource screening, are you receiving too many false positives, is the provider reliable, etc)?  
Total number of financial sanctions match reports received in the last [quarter] [Insert number]
Number of reports resulting in a positive match in the last [quarter] [Insert number]
Number of reports referred to the Office for Financial Sanctions Implementation for a licence in the last [quarter] [Insert number]

Licences

Looking at licences: