№ lp_1_2_50971
File format: docx
Character count: 40785
File size: 115 KB
Year:
2020
Region / city:
New Zealand
Topic:
Anti-money laundering, Countering financing of terrorism
Document type:
Guideline
Issuing body:
AML/CFT Supervisors
Target audience:
Financial institutions, businesses subject to AML/CFT regulations
Period of validity:
September 2020 onward
Approval date:
September 2020
Date of last amendment:
N/A
Context:
This document provides guidance on conducting enhanced customer due diligence (CDD) as part of the Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) obligations under the Act 2009.
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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:
2019
Region / City:
Ireland
Subject:
Anti-money laundering, Terrorist financing
Document Type:
Policy
Organ / Institution:
Property Services Regulatory Authority
Author:
PSRA
Target Audience:
Businesses providing property services
Effective Period:
Ongoing
Approval Date:
01/01/2019
Amendment Date:
Not applicable
Year:
2014
Region / City:
Christchurch, Auckland, Tauranga, Wellington, Hamilton, New Plymouth
Theme:
Anti-Money Laundering, Financial Services
Document Type:
Report
Institution:
Department of Internal Affairs
Author:
Department of Internal Affairs
Target Audience:
Entities involved in financial services, regulators
Effective Period:
As of 1 May 2014
Approval Date:
01/05/2014
Modification Date:
N/A
Year:
2016
Region / City:
Auckland, Wellington, Canterbury, Hawkes Bay, Bay of Plenty, Waikato, Northland, Taranaki, Southland, Manawatu, Christchurch, Australia
Sector:
Cash Transport, Casino, Debt Collection, Factor, Financial Leasing, Foreign Exchange, Non-Bank Credit Card, Payment Provider, Payroll, Remittance, Safe Deposit, Stored Value Card, Tax Pooling, TCSP, Other
Document Type:
Reporting Entities List
Organization:
Department of Internal Affairs
Target Audience:
Businesses and financial institutions involved in AML/CFT compliance
Approval Date:
30 September 2016
Amendment Date:
Not specified
Document Type:
Regulatory compliance questionnaire
Subject:
Anti-Money Laundering and Countering the Financing of Terrorism (AML/CFT)
Applicable Entities:
Market Operators
Regulatory References:
Act 874; Financial Intelligence Centre (FIC); Securities and Exchange Commission (SEC)
Reporting Requirements:
AML/CFT reports; Cash Transaction Reports (CTR); Suspicious Transaction Reports (STR); Employee Training Programme
Currency Reference:
Ghana Cedi (GH¢)
Cash Reporting Threshold:
GH¢50,000
Required Attachments:
Organogram; Group structure; Board-approved AML/CFT Compliance Programme; Risk Assessment Framework/Methodology; Internal and External Audit Reports; PEP List; Operational Manual; Litigation Summary; Training Budgets (2019 and 2020); Monitoring Reports; AMLRO Appointment Letter and CV
Governance Scope:
Board of Directors; CEO/MD; AMLRO; Senior Management
Compliance Areas Covered:
Risk assessment; Customer due diligence (KYC/CDD/EDD); PEP screening; Record keeping; Independent testing; Staff training; Financial inclusion; Account monitoring; Reporting obligations
Retention Requirement:
Minimum 7 years for transaction records
Reporting Authorities:
Financial Intelligence Centre (FIC); Securities and Exchange Commission (SEC)
Year:
2018
Region / City:
New Zealand
Sector:
Financial Services
Document Type:
Report
Institution:
Department of Internal Affairs
Author:
Not specified
Target Audience:
Entities involved in AML/CFT compliance
Period of Validity:
Ongoing
Approval Date:
31 July 2018
Date of Changes:
Not specified
Year:
2015
Region / City:
Auckland, Wellington, Canterbury, Bay of Islands, Bay of Plenty, Northland, Waikato, Hawkes Bay, Taranaki, Manawatu-Whanganui, Otago
Sector:
Financial Services
Type of Document:
Report
Organization:
AML/CFT Reporting Entities
Author:
N/A
Target Audience:
Financial institutions and regulatory bodies
Period of Validity:
N/A
Approval Date:
N/A
Date of Changes:
N/A
Description:
A detailed list of AML/CFT reporting entities as of March 31, 2015, organized by company name, registration number, and sector.
Year:
2016
Region / City:
Georgetown
Subject:
Appointment Process for Director and Deputy Director of the Financial Intelligence Unit (FIU)
Document Type:
Report
Organization / Institution:
National Assembly of Guyana
Author:
Committee on Appointments
Target Audience:
Members of the National Assembly, Government Officials, and Related Stakeholders
Effective Period:
2015–2016
Approval Date:
18th July, 2016
Date of Amendments:
N/A
Context:
Report detailing the process of appointment for key positions within the Financial Intelligence Unit of Guyana under the Anti-Money Laundering & Countering the Financing of Terrorism Act.
Year:
2016
Region / City:
New Zealand (Auckland, Wellington, Canterbury, Bay of Plenty, Waikato, Taranaki, Southland, Northland, Hawkes Bay)
Topic:
Anti-Money Laundering / Counter Financing of Terrorism
Document Type:
Regulatory listing
Organization:
Department of Internal Affairs
Target Audience:
Financial institutions, regulatory bodies
Date of Publication:
30 June 2016
Sectors Covered:
Cash transport, casinos, debt collection, factoring, financial leasing, foreign exchange, non-bank financial services, payment providers, payroll, remittances, safe deposits, stored value cards, tax pooling, trust/corporate service providers
Year:
2022
Region / City:
Paris, France
Subject:
AML/CFT risks in correspondent banking
Document Type:
Service contract
Organization:
Expertise France
Author / Signatory:
Jérémie Pellet
Designated Expert:
Name and Surname of Contractor
Duration:
20 months
Legal Framework:
French Code of Public Procurement (CPP), Order No. 2018-1074, Decree No. 2018-1075
Contract Number:
22SSE0C018
Scope:
International cooperation project for EU Member States
Financial Provisions:
Unit prices, reimbursable costs, ancillary costs, interim payments
Annexes:
Mission description, timesheet template, expert CV, Code of Conduct
Year:
2021
Region / City:
United States
Topic:
Tax preparation, survey
Document Type:
Survey
Author:
IRS
Target Audience:
Tax preparers who did not attend the Due Diligence webinar
Period of Action:
N/A
Approval Date:
N/A
Date of Changes:
N/A
Year:
2016
Note:
Region / City
Topic:
Due Diligence, Financial Services
Document Type:
Questionnaire
Author:
AFME
Target Audience:
Financial institutions and their regulatory bodies
Year:
Not specified
Region / city:
Not specified
Topic:
Responsible Business Conduct (RBC), Sustainability
Document type:
Plan
Organization / institution:
Not specified
Author:
Not specified
Target audience:
Companies implementing responsible business practices
Period of validity:
Not specified
Approval date:
Not specified
Date of amendments:
Not specified
Year:
2018
Region / City:
Washington, D.C.
Theme:
Due diligence, private equity
Document Type:
Questionnaire
Institution / Organization:
Institutional Limited Partners Association (ILPA)
Author:
Institutional Limited Partners Association (ILPA)
Target Audience:
General Partners, Limited Partners, Placement Agents
Period of Validity:
Ongoing
Approval Date:
September 2018
Date of Changes:
September 2018
Year:
2021
Region / City:
Scotland
Topic:
Diligence, Debt Recovery, Legislation
Document Type:
Report
Organ / Institution:
Scottish Government
Author:
Diligence Working Group
Target Audience:
Policy makers, legal professionals, debt recovery professionals
Period of Validity:
Ongoing
Approval Date:
March 2021
Date of Amendments:
None
Year:
2023
Region / City:
Global
Topic:
Investment Funds Distribution
Document Type:
Questionnaire
Institution / Entity:
N/A
Author:
N/A
Target Audience:
Fund Sponsors/Manufacturers, Financial Institutions
Period of Action:
N/A
Approval Date:
N/A
Amendment Date:
N/A
Year:
2023
Note:
Region / City
Year:
2023
Region / City:
Hong Kong
Subject:
Anti-money laundering and counter-financing of terrorism
Document Type:
Form
Organization / Institution:
Law Society of Hong Kong
Author:
Not specified
Target Audience:
Legal practitioners
Period of validity:
Not specified
Approval Date:
June 2023
Modification Date:
Not specified
Year:
2021
Region / City:
Global
Topic:
Client Due Diligence (CDD)
Document Type:
Fact Sheet
Institution:
ACCA
Author:
ACCA
Target Audience:
Accountants, Practitioners
Effective Date:
2021
Date of Updates:
N/A
Sector:
Accounting, Anti-Money Laundering
Note:
Year
Topic:
Responsible Investment, Due Diligence
Document Type:
Checklist
Organization / Institution:
PRI (Principles for Responsible Investment)
Author:
PRI
Target Audience:
Investment Managers, Investors