№ lp_1_27229
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This document provides a pro forma example of AML policies and procedures, with checklists, intended to guide small firms in complying with the Money Laundering Regulations 2017 (MLR 2017) under CIOT and ATT supervision.
Year:
2019
Region / City:
United Kingdom
Subject:
Anti-money laundering compliance
Document Type:
Guidance
Author:
CIOT, ATT
Target Audience:
Small firms registered for AML Supervision with CIOT or ATT
Period of validity:
Ongoing
Approval Date:
8 April 2019
Modification Date:
N/A
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The product description is provided for reference. Actual content and formatting may differ slightly.
Year:
2022
Region / City:
United Kingdom
Topic:
Anti-Money Laundering
Document Type:
Policy & Procedures
Organization:
[Firm Name]
Author:
[Firm Name]
Target Audience:
Accountancy Firms, Money Laundering Reporting Officers (MLROs)
Effective Period:
Ongoing
Approval Date:
[MM/YY]
Date of Changes:
[MM/YY]
Year:
2019
Region / City:
Hong Kong
Topic:
Anti-Money Laundering / Counter-Financing of Terrorism Compliance
Document Type:
Self-Assessment Checklist
Organization / Authority:
Securities and Futures Commission (SFC)
Target Audience:
Licensed Corporations (LCs) and Associated Entities (AEs)
Version:
April 2019
Responsible Officer:
Compliance Officer (CO) and Money Laundering Reporting Officer (MLRO)
Reference:
Guideline on Anti-Money Laundering and Counter-Financing of Terrorism for Licensed Corporations
Date of Completion:
as recorded by LC / AE
Note:
Year
Subject:
Anti-Money Laundering, Compliance, Financial Regulations
Document Type:
Template
Organization / Institution:
FINRA
Target Audience:
Small Firms, Financial Institutions, Compliance Officers
Year:
N/A
Region / city:
EMEA
Theme:
Anti-Money Laundering (AML) Requirements
Document type:
Regulatory information
Organ / institution:
CitiDirect
Author:
N/A
Target audience:
Banks and financial institutions across EMEA region
Effective period:
N/A
Approval date:
N/A
Modification date:
N/A
Context description:
Document provides an overview of AML regulatory documentation requirements for multiple countries across the EMEA region for banking institutions and payment authorization processes.
Year:
2024
Sector:
Accountancy
Document type:
Guidance / Template
Organization:
CIOT, ATT
Audience:
Small firms registered for AML supervision
Reference regulations:
The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017
Associated documents:
AML Guidance for the Accountancy Sector, Pro forma checklists and forms
Update date:
January 2024
Period covered:
June 2023 – January 2024
Legal disclaimer:
Use of document does not replace professional legal advice
Year:
2017
Region / City:
UK
Topic:
Money Laundering, Risk Assessment
Document Type:
Checklist
Organization:
Legal firms
Author:
N/A
Target Audience:
Legal and financial firms
Period of validity:
N/A
Approval Date:
N/A
Date of Changes:
N/A
Year:
2017
Region / City:
United Kingdom
Subject:
Money Laundering Regulations
Document Type:
Form
Organization / Institution:
IAB
Author:
IAB
Target Audience:
General public, IAB members
Period of validity:
N/A
Approval Date:
N/A
Date of modifications:
N/A
Year:
2017
Region / City:
United Kingdom
Topic:
Anti-Money Laundering
Document Type:
Policy & Procedures
Organization / Institution:
ACCA
Author:
Not specified
Target Audience:
Accountancy Firms
Period of Validity:
Ongoing
Approval Date:
Not specified
Amendment Date:
Not specified
Year:
2021
Region / City:
Seattle
Subject:
Oncology, Cardiology
Document Type:
Clinical Protocol
Author:
Kasey Leger, MD
Target Audience:
Medical Professionals, Researchers
Period of Validity:
Ongoing
Approval Date:
2021
Date of Last Update:
2021
Year:
2016
Region / city:
Malaysia
Topic:
Aircraft Maintenance Licence Application
Document type:
Application form
Organization:
Civil Aviation Authority of Malaysia (CAAM)
Author:
Civil Aviation Authority of Malaysia (CAAM)
Target audience:
Aircraft maintenance professionals and organizations
Validity period:
Not specified
Approval date:
Not specified
Modification date:
Not specified
Year:
2023
Region / city:
Hong Kong
Subject:
Anti-money laundering, Counter-terrorist financing
Document type:
Policy
Author:
Hong Kong Institute of Certified Public Accountants
Target audience:
Businesses, accountants, and related professionals
Approval date:
2023
Changes date:
N/A
Practice unit:
______________________
Money Laundering Reporting Officer:
______________________
AML Compliance Officer:
______________________
Risk assessment:
Included
Financial sanctions:
Included
Terrorist financing:
Included
Reporting obligations:
Included
Client due diligence:
Included
Note:
Year
Topic:
Anti-Money Laundering (AML)
Document Type:
Guidance
Organization:
FSRA
Target Audience:
Relevant Persons in the Financial and Non-Financial Sectors
Period of Validity:
Annual
Year:
2014
Region / city:
Vanuatu
Topic:
Anti-money laundering, Counterterrorism financing
Document type:
Policy guideline
Organization:
Black Diamond Private Wealth LTD
Author:
Black Diamond Private Wealth LTD
Target audience:
Lenders
Period of validity:
6 years
Approval date:
Not specified
Date of amendments:
Not specified
Legal framework:
Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017
Amendments referenced:
MLR (Amendment) 2019; The Money Laundering and Terrorist Financing (Amendment) (High-Risk Countries) Regulations 2021
Guidance referenced:
CCAB Anti-Money Laundering Guidance for the Accountancy Sector (AMLGAS); HM Treasury National Risk Assessment 2020; FATF Guidance on the Risk-Based Approach for Accountants; National Crime Agency resources
Sector:
Accountancy sector
Subject:
Anti-money laundering and counter-terrorist financing risk assessment
Document type:
Compliance template and guidance factsheet
Issuing organisation:
Association of Chartered Certified Accountants
Issue date:
June 2021
Prepared by:
Money Laundering Reporting Officer (MLRO)
Approval:
Partner and Director of the firm
Review requirement:
Annual review
Key risk areas:
Client risk; Geography risk; Products and services risk; Transactions risk; Delivery channels risk
Compliance measures referenced:
CDD; EDD; SARs; staff training; annual compliance review
Intended audience:
Accountancy firms and MLROs
Year:
2019
Application Period:
November 1, 2019 – January 31, 2020
Program Name:
AML Economic and Community Development Pilot Program
Administering Authority:
Office of Surface Mining Reclamation and Enforcement (OSMRE)
Document Type:
Application Form
Subject:
Abandoned Mine Land Economic Development and Reclamation Projects
Geographic Scope:
United States
Project Classification:
Category “A” or Category “B” under OSMRE Guidelines
Required Components:
Project Information, Applicant Information, Contact Person, Property Access, Project Description, AML Nexus, Economic Analysis, Project Partners, Project Benefits, Current Project Status, Project Budget Details
Eligibility Reference:
Guidance for Project Eligibility under the Abandoned Mine Reclamation Economic Development Pilot Program for Fiscal Year 2019
Intended Applicants:
Municipalities, organizations, and entities proposing AML-related economic development projects
Purpose:
Submission of proposed projects linking abandoned mine land reclamation with economic and community development outcomes
Year:
2015
Region / City:
South Africa
Theme:
Civil Engineering, Construction Contracts
Document Type:
Guide, Pro Forma Forms
Organization:
South African Institution of Civil Engineering (SAICE)
Author:
South African Institution of Civil Engineering (SAICE)
Target Audience:
Contractors, Employers, Engineers
Period of Validity:
Ongoing
Approval Date:
July 2018
Date of Changes:
Not specified
Year:
2026
Note:
Region / city
Topic:
Project Management, Business Cases
Document Type:
Template
Note:
Year
Context:
A business case template based on HM Treasury Better Business Cases guidance following the Five Case Model for preparing business cases, used for evaluating expenditure proposals and their strategic, economic, and financial implications.
Year:
2024
Sector:
Accountancy
Document type:
Guidance / Template
Organization:
CIOT, ATT
Audience:
Small firms registered for AML supervision
Reference regulations:
The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017
Associated documents:
AML Guidance for the Accountancy Sector, Pro forma checklists and forms
Update date:
January 2024
Period covered:
June 2023 – January 2024
Legal disclaimer:
Use of document does not replace professional legal advice