№ lp_1_2_41824
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This document is a checklist designed to help firms subject to the Money Laundering Regulations 2017 prepare their risk assessment, identifying key factors and documents that need to be considered.
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
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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:
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
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:
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:
2024
Region / City:
Singapore
Topic:
Anti-Money Laundering, Countering the Financing of Terrorism
Document Type:
Implementation Guidance / Illustrative Templates
Issuing Body:
Institute of Singapore Chartered Accountants (ISCA)
Related Regulations:
Accountants (Prevention of Money Laundering and Financing of Terrorism) Rules 2023
Target Audience:
Professional Accountants and Professional Firms
Previous Updates:
November 2015, June 2017, June 2023
Content Includes:
Customer Due Diligence Flowchart, Client Information Forms, Forms for Beneficial Owners, PEPs, Risk Assessment Examples, Enhanced CDD Examples
Note:
Year
Topic:
Anti-Money Laundering, Anti-Terrorism Financing
Document Type:
Template
Target Audience:
Real estate brokers
Description:
Template for real estate brokers to create their Anti-Money Laundering and Anti-Terrorism Financing policies and procedures.
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]
Note:
Year
Subject:
Anti-money laundering
Document Type:
Policy
Jurisdiction:
New Zealand
Legal framework:
Anti-Money Laundering and Countering Financing of Terrorism Act 2009
Subject matter:
Money laundering and terrorist financing risk assessment
Document type:
Compliance risk assessment
Sector:
Legal profession
Intended users:
Law firms and legal practitioners
Scope of application:
All partners, employees, and business activities of a law firm
Regulatory context:
Reporting entity obligations under AML/CFT legislation
Relevant authorities:
Department of Internal Affairs; New Zealand Law Society
Risk factors covered:
Business size and complexity; services offered; service delivery methods; client types; geographic exposure; transaction characteristics
Compliance roles referenced:
Money Laundering Compliance Officer; Money Laundering Reporting Officer
Geographic focus:
Domestic and cross-border transactions involving New Zealand