№ lp_1_2_41823
File format: docx
Character count: 4871
File size: 48 KB
The document outlines a comprehensive risk assessment template for firms to evaluate and mitigate sanctions risks across various dimensions such as customer risk, geographic risk, product/service risk, transaction risk, and delivery channel risk, ensuring compliance with relevant sanctions regimes.
Note:
Year
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Note:
Year
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.
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:
1982
Region / City:
New South Wales
Topic:
Healthcare risk assessment
Document Type:
Policy
Organization / Institution:
NSW Health
Author:
Chief Executive
Target Audience:
Assessors, Healthcare Professionals
Period of Validity:
Not specified
Approval Date:
Not specified
Amendment Date:
Not specified
Note:
Year
Subject:
Fire Safety in Construction
Document Type:
Guidance
Organization / Institution:
Home Builders Federation (HBF)
Author:
Home Builders Federation (HBF)
Target Audience:
HBF members
Year:
2023
Region / City:
Australian Capital Territory
Topic:
Risk Management
Document Type:
Procedure
Organization:
ACT Education Directorate
Author:
ACT Government
Target Audience:
Schools, Education Support Office
Effective Period:
Indefinite
Approval Date:
12/05/2023
Modification Date:
N/A
Year:
2019
Region / City:
Oxford
Topic:
Health and Safety
Document Type:
Safety Update
Organization:
University of Oxford, Department of Materials
Author:
Linda Curson
Target Audience:
Staff, visitors, students
Period of Validity:
Ongoing
Approval Date:
25 March 2019
Organisation:
Canberra Health Services
Facility:
North Canberra Hospital (NCH); Clare Holland House (CHH)
Document type:
Clinical procedure
Topic:
Falls risk minimisation and management
Clinical setting:
Inpatient hospital care
Scope:
All admitted patients at NCH and CHH
Target audience:
Medical officers; nursing and midwifery staff; allied health professionals; support service staff
Jurisdiction:
Australian Capital Territory, Australia
Related areas:
Patient safety; risk management; inpatient care
Includes:
Risk screening and assessment; prevention interventions; post-fall management; equipment use; staff and patient education; incident reporting; attachments and tools
Year:
2020
Region / City:
Rochester, MN
Topic:
Cybersecurity of medical and research devices
Document type:
Vendor packet
Organization / Institution:
Mayo Clinic
Author:
Mayo Clinic
Target audience:
Vendors, healthcare technology management teams
Period of validity:
N/A
Approval date:
N/A
Date of amendments:
N/A
Note:
Year
Physical:
Suitability of premises; lifting, awkward postures, slips and trips, noise, dust, machinery.
Biological:
Tuberculosis, hepatitis, infectious diseases for healthcare professionals.
Note:
Year
Context:
A document outlining the procedures for identifying and assessing audit risks, and determining the audit approach for addressing risks of material misstatement in financial statements.
Year:
1999
Region / city:
New Zealand
Subject:
Risk management, animal products
Document type:
Legal
Organization / institution:
Ministry for Primary Industries (MPI)
Author:
Director-General
Target audience:
Producers, processors, risk management programme operators
Period of validity:
Indefinite
Approval date:
Not specified
Amendment date:
Not specified
Year:
2018
Region / City:
Hong Kong, Singapore, Vietnam
Topic:
LNG Procurement, Risk Management
Document Type:
Report
Organization:
The World Bank, The Lantau Group
Author:
The Lantau Group
Target Audience:
Government, Industry Stakeholders, Energy Sector Professionals
Period of validity:
N/A
Approval Date:
15 December 2018
Date of modifications:
N/A
Year:
2023
Region / City:
ACT
Topic:
Risk management
Document Type:
Framework guide
Organization / Institution:
Education Directorate
Author:
Not specified
Target audience:
Education staff, risk managers, leadership
Period of validity:
Ongoing
Approval date:
12/05/2023
Date of changes:
Not specified
Year:
2018
Region / City:
Cleveland, Hartlepool, Middlesbrough, Stockton, Redcar & Cleveland
Theme:
Mental Health Act, Police Assistance, Risk Assessment
Document Type:
Operational Policy & Procedures
Organization / Institution:
Cleveland Police, Local Authorities
Author:
J Gardner / Adult & Community Based Services
Target Audience:
Police Officers, Mental Health Professionals, Local Authorities
Period of Validity:
July 2018 - January 2019
Approval Date:
3rd July 2018
Review Date:
January 2019
Reason for Revision:
New Guidance
Dive Jump Reporting System (DJRS) and Risk Management Information (RMI) Personnel and Safety Records
Year:
Not specified
Location:
SPAWAR Systems Center Atlantic, Navy Enterprise Data Center – Charleston, SC, USA
Covered Personnel:
DoD and Coast Guard uniformed and civilian employees, Naval personnel including trainees, non-appropriated and foreign national civilian personnel, other U.S. Government personnel, contractors
Type of Records:
Personal identifiers, contact information, occupational and medical data, incident reports, dive and parachute jump logs, training and certification data
Legal Authority:
5 U.S.C. 4101-4118; 5 U.S.C. §301; 10 U.S.C. §5013; 10 U.S.C. §5041; E.O. 12196; DoD Instruction 6055.07; OPNAVINST 5102.1D/MCO P5102.1B; OPNAVINST 3750.6S; DoD 6025.18-R; E.O. 9397
Retention:
Permanent, per retention schedule 3750.1a
System Manager:
Sea Warrior Program (PMW 240), Attention: Risk Management Information (RMI) Program Manager, Arlington, VA, USA
Access:
Restricted PKI-enforced access; paper records locked; notification and access procedures require signed or notarized requests
Sources:
Safety investigation reports, personnel and medical records, State and Federal records, police reports, witness statements, dive logs, Jump Manifests