AML & counter-terrorist financing

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Precedents
1DefinitionsModern Slavery Policy•means the Customer's anti-slavery and human trafficking policy as set out in Schedule [insert] as updated by the...
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9th Nov
Practice notes
Jurisdictions coveredThe following jurisdictions are covered in this report:Albania; Australia; Austria; Belgium; Bosnia and Herzegovina; Brazil;...
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9th Nov
Practice notes
This Practice Note lists high-risk third countries identified by the Financial Action Task Force (FATF), HM Treasury and the European Commission as...
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9th Nov
Practice notes
The purpose of this Practice Note is to provide a general understanding of the offences under section 1, 2 and 6 of the Bribery Act 2010 (BA 2010). It...
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Produced in partnership with Joanne Kane of Carmelite Chambers 12th Jan
Practice notes
The UK Government has legislated to permit a number of UK authorities to obtain search warrants to 'raid' a business premises. The potential for a...
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Produced in partnership with Michael Potts of Byrne and Partners LLP 12th Jan
Practice notes
An undertaking is a commitment by a solicitor to do something. It can be enforced against the solicitor by the courts. Failure to comply with an...
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9th Nov
Practice notes
Facilitating the performance of a duty by public officialsFacilitation payments, also known as facilitating or grease payments, are generally small...
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Produced in partnership with Richard Furlong of Carmelite Chambers 12th Jan
Practice notes
You may apply simplified customer due diligence (SDD) measures in relation to particular business relationships or transactions which you determine...
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9th Nov

Most recent AML & counter-terrorist financing content

Precedents
1Establishment of independent audit functionThe Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations...
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5th Feb
Precedents
IP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the end of the Brexit transition/implementation period entered into following the UK’s...
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5th Feb
Precedents
1General informationPerson(s) conducting audit[Insert names of applicable members of independent audit team]Dates of auditFrom [insert date] to...
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5th Feb
Q&As
STOP PRESS: Draft Legal Sector Affinity Group (LSAG) AML guidance was published on 20 January 2021. It awaits approval by HM Treasury and any content...
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28th Jan
Precedents
IP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the end of the Brexit transition/implementation period entered into following the UK’s...
Read More >
28th Jan
Precedents
STOP PRESS: Draft Legal Sector Affinity Group (LSAG) AML guidance was published on 20 January 2021. It awaits approval by HM Treasury and any content...
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28th Jan
Precedents
STOP PRESS: Draft Legal Sector Affinity Group (LSAG) AML guidance was published on 20 January 2021. It awaits approval by HM Treasury and any content...
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28th Jan
Precedents
STOP PRESS: Draft Legal Sector Affinity Group (LSAG) AML guidance was published on 20 January 2021. It awaits approval by HM Treasury and any content...
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28th Jan
Precedents
This presentation has been designed as an aid to train your staff on anti-money laundering and counter-terrorist financing. This presentation is of...
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21st Jan
Precedents
1Preparing for the auditThis section sets out a checklist of issues to be addressed pre-audit.ActionCompletedComments/action pointsObtain copy of...
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21st Jan
Q&As
Ongoing monitoringThe Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 (MLR 2017), SI 2017/692,...
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22nd Dec
Q&As
This Q&A describes red flag indicators for matters involving virtual assets, as set out in the Financial Action Task Force (FATF) report ‘Virtual...
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7th Dec
Precedents
What is money laundering?Money laundering is the process through which the proceeds of crime and their true origin and ownership are changed so that...
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7th Dec
Precedents
This Precedent Politically exposed person—PEP—central list allows you to keep a central record of PEP clients/customers. It can be used to help to...
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7th Dec
Precedents
This schedule of recommendations can be used by the independent audit function to set out its recommendations following audit of the organisation’s...
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7th Dec
Precedents
Please click for an Excel version of this register.GeneralInsert course name/description and reason for training.Course name/description[Insert...
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7th Dec
Precedents
1General informationReview period[Insert review period]Date of review[Insert date]Person(s) conducting review[Insert name(s)]2DataCriteriaIn the last...
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7th Dec
Precedents
How to use this testThese questions are designed to test your understanding after your attendance at the mini training session on AML—customer due...
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6th Dec
Precedents
QuestionAnswers1. Which of these is not part of our customer due diligence (CDD) process?(b) Sending the customer our anti-money laundering and...
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6th Dec
Precedents
How to use this testThese questions are designed to test your understanding after your attendance at training on anti-money laundering and...
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6th Dec

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