№ lp_1_2_12458
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Character count: 12953
File size: 169 KB
This document is a compliance review guide for firms to assess their adherence to the Money Laundering Regulations 2017, focusing on risk assessment, due diligence procedures, and record retention.
Year:
2023
Region / City:
Not specified
Theme:
Money Laundering, Compliance
Document Type:
Compliance Review
Organ / Institution:
ICAEW
Author:
Not specified
Target Audience:
Firms involved in money laundering compliance
Period of validity:
Ongoing
Approval Date:
Not specified
Date of Changes:
April 2023
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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
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
Year:
2021
Region / City:
Not specified
Subject:
Anti-money laundering policies and procedures
Document Type:
Policy
Institution:
Not specified
Author:
Not specified
Target Audience:
Employees, Partners
Period of Validity:
Ongoing
Approval Date:
12 July 2021
Date of Changes:
Not specified
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
Note:
Year
Subject:
Anti-Money Laundering, Compliance, Financial Regulations
Document Type:
Template
Organization / Institution:
FINRA
Target Audience:
Small Firms, Financial Institutions, Compliance Officers
Year:
2021
Region / Country:
United Kingdom
Topic:
Anti-Money Laundering, Compliance
Document Type:
Professional Guidance / Policy Document
Organization:
ICAEW
Author:
Not specified
Target Audience:
New firms, sole practitioners, smaller accountancy firms
Legal Basis:
Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 (MLR 17)
Last Updated:
01/01/2021
Responsible Officer:
Money Laundering Compliance Officer (MLCO), Nominated Officer/Money Laundering Reporting Officer (NO/MLRO)
Scope:
Firm-wide risk assessment, internal controls, staff training, reporting procedures
Description:
Professional guidance document outlining mandatory anti-money laundering policies, risk assessments, internal reporting structures, and compliance responsibilities for accountancy firms in the UK.
Year:
2018
Region / city:
United Kingdom
Subject:
Money laundering, financial crime
Document type:
Guidance note
Organization / institution:
Independent Schools Council
Author:
Not specified
Target audience:
Independent schools, financial institutions
Period of validity:
Not specified
Date of approval:
Not specified
Date of amendments:
Not specified
Note:
Year
Subject:
Anti-Money Laundering Compliance
Document Type:
Policy Template
Organization / Institution:
Alberta Mortgage Brokers Association (AMBA)
Target Audience:
AMBA Members
Year:
2017
Region / City:
United Kingdom
Theme:
Money laundering, risk assessment
Document Type:
Template
Organization:
Not specified
Author:
Not specified
Target Audience:
Firms subject to MLR 2017
Period of validity:
Not specified
Approval Date:
Not specified
Modification Date:
Not specified
Context:
A template for conducting a risk assessment in compliance with MLR 2017, detailing risk factors related to clients, geography, services, transactions, and delivery channels.
Year:
2022
Note:
Region / city
Subject:
Anti-money laundering, Countering financing of terrorism, Designated business group
Document type:
Guideline
Target audience:
Reporting entities, Legal advisors
Context:
A guideline for reporting entities on the formation and operation of designated business groups (DBG) under the AML/CFT Act, detailing shared obligations and responsibilities within such groups.
Year:
2025
Region / City:
USA
Topic:
Financial Crimes Enforcement Network, Bank Secrecy Act, Anti-Money Laundering
Document Type:
Policy
Organization / Institution:
Credit Union
Author:
[CUname]
Target Audience:
Credit Union Staff, Compliance Officers, Board of Directors
Effective Period:
Ongoing
Approval Date:
01/03/2024
Date of Last Revision:
08/06/2025
Note:
Year
Year:
2017
Region / city:
United Kingdom
Subject:
Anti-money laundering, terrorist financing
Document type:
Application form
Organization / institution:
Financial Conduct Authority
Author:
Financial Conduct Authority
Target audience:
Financial institutions, legal entities, applicants for authorization
Effective period:
N/A
Approval date:
N/A
Date of amendments:
N/A
Contextual description:
Legal and regulatory document providing an application form for individual MLR (Money Laundering Regulations) approval in accordance with UK financial regulations.
Year:
2026
Region:
Hong Kong
Subject:
Anti-Money Laundering and Counter-Terrorist Financing
Document Type:
Policy
Organization:
[NAME OF NGO]
Target Audience:
Staff, trustees, advisors, volunteers
Legal Reference:
Anti-Money Laundering and Counter-Terrorist Financing Ordinance (Cap. 615); Drug Trafficking (Recovery of Proceeds) Ordinance (Cap. 405); Organized and Serious Crimes Ordinance (Cap. 455); Hong Kong National Security Law
Scope:
Internal procedures, donor and beneficiary due diligence, partner and third-party transactions
Compliance Officer:
Designated within NGO
Year:
2025
Region / City:
Nakuru
Topic:
Insolvency, Legal Disputes
Document Type:
Court Ruling
Organ / Institution:
High Court of Kenya
Author:
Not specified
Target Audience:
Legal professionals, parties involved in the case
Period of Validity:
Not applicable
Approval Date:
Not specified
Date of Amendments:
Not specified
Organisation:
Queenslanders with Disability Network
Abbreviation:
QDN
Document type:
Handbook summary
Format:
User friendly version
Region:
Queensland, Australia
Audience:
People with disability
Topic:
Household energy use
Energy types covered:
Electricity and gas
Related program:
Bright Sparks
Seasonal focus:
Summer and winter energy use
Support information:
Government concessions and rebates
Contact phone:
1300 363 783
Contact email:
[email protected]
Website:
qdn.org.au
Year:
2025
Organisation:
Elrha
Team:
Monitoring, Evaluation, Accountability and Learning (MEAL)
Document type:
Request for Proposals
Topic:
Value for Money assessment in humanitarian innovation
Purpose:
Consultancy for development of a VfM case study
Geographic scope:
Global
Target applicants:
Consultants and legally registered entities
Key activities:
VfM methodology testing, case study development, learning documentation
Key deliverables:
Inception report; Case study; Learning document; Rubric refinement
Date issued:
26 August 2025
Submission deadline:
02 September 2025
Procurement type:
Competitive consultancy procurement
Note:
Year
Topic:
Garnishment procedure, legal responsibilities of garnishee
Document Type:
Legal Instruction
Authority / Institution:
Court of Arizona
Target Audience:
Garnishees involved in legal proceedings
Jurisdiction:
Labuan International Business and Financial Centre, Malaysia
Regulator:
Labuan Financial Services Authority
Legal basis:
Labuan Financial Services and Securities Act 2010; Labuan Islamic Financial Services and Securities Act 2010
Document type:
Licence application form
Business activity:
Labuan money broking business
Processing fee:
USD 350 (normal); USD 1,550 (fast track upon acceptance)
Processing time:
30 working days (normal); 15 working days (fast track)
Submission method:
Email submission of PDF documents with subsequent hardcopy upon notification
Confidentiality provisions:
Section 178 of the Labuan Financial Services and Securities Act 2010; Section 139 of the Labuan Islamic Financial Services and Securities Act 2010
Fast track option:
Available subject to terms and acceptance by Labuan FSA