AML Policy and Procedures Manual including guidance, a policies and procedures tool kit and Information Pack - Accountancy Sector This complete set of templates aids in the requirements in the Money Laundering (Amended) Regulations 2019 for the requirements for risk sensitive policies, controls and procedures which are able to demonstrate to a supervisor your firm’s specific policies, controls & procedures for AML. It includes:
• Templates covering The firms’ Policy Statement, Regulation 18 Compliance
• Templates for the 'Risk Register' that is Risk Assessment & Risk Management controls and Procedures Regulation 17 Compliance
• Templates for Policy and management procedures for reporting both internally and to SOCA
• Templates for staff Training
• A further ‘Tool Kit’ section packed with working papers and other relevant items to help you prepare your firms specific policies, controls and procedures.
The documents are delivered electronically allowing for simple editing in word along with explanations and instructions of what is expected of you for each section..