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Specimen documents

The manual will be a download with a simple index that allows you to navigate to the guidance, policies and checklists

The following pdfs are excerpts from all aspects within the manual

Contents

Guidance

Introduction
Section 1 AML in the UK
Section 2 MLRs 2017
Section 3 AML supervision
Section 4 Policies, Controls and Procedures
Section 5 Practice-wide Processes
Section 6 Employee Forms and Checklists
Section 7 Client Checklists
Section 8 Transactions and Suspicions

Policies

03 Risk Assessment and Management Policy
04 Relevant Employees Policy and Procedure
07 Client Due Diligence Policy and Procedure
10 Reporting Policy and Procedure

Checklists

12 AML Compliance Monitoring Checklist
13 Record Keeping Policy and Procedure
14 Practice Risk Assessment Checklist
21 Employees Compliance Checklist
25 Employee Training Record
31 Client Risk Assessment Checklist
41 High Value Transactions Checklist
44 Suspicious Activity Checklist


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