№ files_lp_3_process_9_25320
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Regulatory compliance questionnaire outlining governance, risk assessment, reporting, and control requirements for AML/CFT oversight by market operators under Ghanaian supervisory authorities.
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)
Price: 8 / 10 USD
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The product description is provided for reference. Actual content and formatting may differ slightly.
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:
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.
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
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:
Not specified
Region / City:
Manchester
Theme:
Security services, Licensing
Document type:
Consultation questionnaire
Organ / Institution:
Home Office
Author:
Not specified
Target audience:
Security professionals, Employers, Public bodies
Validity period:
Not specified
Approval date:
Not specified
Date of changes:
Not specified
Form number:
GLDD-988
CRM form number:
34
Revision number:
1
Effectivity date:
June 15, 2021
Issuing authority:
Philippine Amusement and Gaming Corporation
Department:
Gaming Licensing and Development Department
Document type:
Regulatory notification form
Subject matter:
Notification of third-party chipwashing and junket operators
Jurisdiction:
Philippines
Intended submitter:
Licensed casino operators
Submission requirement:
At least one business day prior to commencement of junket operations
Sections included:
General information, submission instruction, acknowledgement of notification, certification
Year:
2026
Region / City:
United States
Topic:
Gas Pipeline Safety, Incident Reporting
Document Type:
Government Publication
Agency:
Pipeline and Hazardous Materials Safety Administration (PHMSA)
Author:
Pipeline and Hazardous Materials Safety Administration (PHMSA)
Target Audience:
Gas pipeline operators, federal and state regulators
Period of Validity:
Until June 30, 2026
Approval Date:
Not specified
Amendment Date:
Not specified
Note:
Year
Theme:
Occupational Health and Safety
Document Type:
Assessment Form
Organ / Institution:
Hydro Tasmania Group, Entura
Target Audience:
Workers, Assessors, Supervisors
Year:
Not specified
Region / City:
Not specified
Subject:
Aviation, RNP AR APCH operations
Document Type:
Compliance checklist
Institution / Authority:
Not specified
Author:
Not specified
Target Audience:
Operators conducting RNP AR APCH operations
Period of Validity:
Not specified
Approval Date:
Not specified
Amendment Date:
Not specified
Year:
2026
Region / City:
London
Topic:
Smart Metering, Network Operators, Trust Anchor Cells
Document Type:
Engineering Recommendation
Organization:
Energy Networks Association
Author:
Energy Networks Association
Target Audience:
Energy suppliers, network operators
Effective Period:
Ongoing
Approval Date:
January 2026
Revision Date:
January 2026
Department:
Department of Professional and Financial Regulation
Office:
Office of Profession and Occupational Regulation
Program:
Boiler and Pressure Vessel Safety Program
Jurisdiction:
Maine
Legal basis:
Title 32, Chapter 131 of the Maine Revised Statutes
Document type:
Regulatory chapter
Subject:
Licensure, examination, renewal, and operational requirements
Regulated professions:
Boiler operators; stationary steam engineers
Licensing authority:
Director of the Office of Professional and Occupational Regulation
Examination passing score:
70%
License term:
Three years
Training permit term:
One year, nonrenewable
Renewal grace period:
90 days
Source type:
Administrative regulation
Version:
10
Approving body:
Registration and Licensing Committee
Approval date:
10 August 2015
Implementation date:
1 October 2015
Amendment dates:
January 2016; September 2016; December 2016; August 2017; June 2018; February 2020; June 2020; March 2023; February 2024
Geographic scope:
Neath Port Talbot County Borough
Regulatory authority:
Neath Port Talbot County Borough Council
Policy area:
Taxi and private hire vehicle licensing
Document type:
Regulatory policy
Subjects covered:
Driver licensing, vehicle licensing, operator licensing, DBS checks, medical fitness, immigration checks, vehicle standards
Legal references:
Road Traffic Act 1972; Rehabilitation of Offenders Act 1974; Equality Act 2010
Target audience:
Hackney carriage and private hire drivers, vehicle proprietors, operators
Scope of application:
Hackney carriage and private hire trades within Neath Port Talbot County Borough
Status:
Adopted policy in force
Year:
2014
Region / City:
Sittwe
Topic:
Sludge Treatment
Document Type:
Manual
Organization / Institution:
Solidarités International
Author:
John Fitzgerald, Manuel Kraehenbuehl, Elio de Bonis, Brice Pageaud, Marine Ricau, Veolia Foundation, Jules Gouron
Target Audience:
WASH Program Managers, Engineers, and Field Staff
Validity Period:
From 2014
Approval Date:
2014
Date of Modifications:
2020