This anti-money laundering (“AML”) compliance manual template can be used by businesses subject to the Money Laundering, Terrorist Financing and Transfer of Funds Regulations 2017 (the “MLR”) including:
- credit institutions;
- financial institutions;
- auditors, insolvency practitioners, external accountants and tax advisers;
- independent legal professionals;
- trust or company service providers;
- estate agents and letting agents;
- high value dealers;
- art market participants;
- cryptoasset exchange providers; and
- custodian wallet providers.
It covers all the main topics covered by the MRL including:
- Application and Definitions;
- AML Risk Assessments;
- AML Policies, Controls and Procedures;
- Customer Due Diligence (“CDD”), including Simplified Due Diligence and Enhanced Due Diligence;
- Beneficial Owners;
- Reliance on Third Parties;
- Record Keeping;
- Data Protection; and
- Cryptoasset Transfers.
It also contains standard KYC forms to conduct customer due diligence on the following types of customers:
- Private Companies;
- Regulated Entities;
- Listed Companies;
- Investment Funds; and
To see a preview of this template, please click: AML Compliance Manual Template Preview.
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Disclaimer: This document is provided by Chelsea Publishing Limited trading as FSREG Templates on an “as is” basis for reference purposes only and without any guarantee of its suitability, accuracy, completeness or compliance with applicable laws and regulations. Chelsea Publishing Limited is not responsible for any action taken or omitted to be taken based on this document and individual legal, tax and regulatory advice should be obtained before this document is used. © 2022-2023 Chelsea Publishing Limited. All rights reserved.