№ lp_1_2_35903
File format: docx
Character count: 58776
File size: 1503 KB
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.
Price: 8 / 10 USD
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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:
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:
2016
Region / City:
United States
Topic:
Pharmacy Information Management
Document Type:
Technical Requirement
Organization / Institution:
Veterans Health Administration (VHA)
Author:
Veterans Health Administration
Target Audience:
Vendors, Pharmaceutical Suppliers, IT Developers
Period of Validity:
From January 18, 2017
Approval Date:
Not specified
Modification Date:
Not specified
Year:
2026
Region / City:
Global
Topic:
Medical Vocabulary, Search Strategy
Document Type:
Guide
Institution:
National Library of Medicine
Author:
National Library of Medicine
Target Audience:
Healthcare Students, Healthcare Providers, Information Professionals, Researchers
Effective Date:
2026
Revision Date:
N/A
Organization:
Just Between Friends of Central Houston
Program:
VIP Tagging Program
Document type:
Program overview and participation terms
Target audience:
Consignors
Location:
Central Houston
Consignor commission:
40% of sold items
Commission with volunteer shifts:
45%
Consignor fee:
$10
Supply fee:
$5 for up to 150 items; $10 for 150–250 items; $15 for 250+ items
Pricing control:
Consignor adjustments limited to 5% of total items
Sale pricing rule:
Items marked to go half price unless subject to price changes
Rejected items policy:
Items not meeting quality standards donated to charity
Rejected item inspection fees:
$0 for 0–15 items; $5 for 16–25 items; $10 for 26–40 items
Restricted items:
No VHS tapes; limited stuffed animals; no dated event shirts
Payment timeline:
Checks issued within two weeks after sale conclusion
Administrative contact:
VIP Tagging Coordinator
Year:
2018
Region / city:
United States
Topic:
Loan servicing, loan origination, business intelligence
Document type:
Request for Information (RFI)
Organization / institution:
U.S. Department of Veterans Affairs (VA)
Author:
U.S. Department of Veterans Affairs (VA)
Target audience:
Industry solution providers, mortgage servicers, software developers
Action period:
From June 30, 2019
Approval date:
Not specified
Date of changes:
Not specified
Year:
All year long
Document type:
Workflow
Note:
Metadata
Retention Plan for this Document:
Yes
Archive Tag:
Yes
Date Archived:
Yes
Watermark:
Not added
Folder:
RECORD SERIES - Archive (incoming)
Retention Schedule:
Based on the current Retention Schedule
Field for Retention Plan:
Set upon placing document in a folder
Watermark option:
Not implemented yet
December 25th:
Archive Tags Applied
Current Document Check:
Yes
Mass Archive:
December 31st
Original File Path:
Recorded in metadata
LF Administrator Role:
Sorting and moving documents into appropriate folders