Applies to: AML Accelerate
Information to Collate
The AML Accelerate risk assessment requires you to answer a number of questions about your organisation and who you deal with.
We recommend that you collate the following details before you start, so that are able to complete the risk assessment quickly. If you do not have all the details to hand, you can make a start, save your risk assessment at any point and return to where you left off once you have the information required.
We have included a data collection tracking sheet and suggested project plan and approach - see How to approach your risk assessment and program development.
To help you collect data for the risk assessment, we have created data collection templates that you can download and distribute to the relevant teams and stakeholders.
Note 1: The templates cannot be used as import files or to auto-populate the risk assessment questions.
Note 2: Templates do not exist for the Environmental Risk and Channel Risk sections in the risk assessment.
Shortcuts to template sections:
Company Details
- Company Name
- Country of Registration
- Name of the registration body
- Date of incorporation
- Registered business number
- Registered office address
- Name and contact details of AML Compliance officer (and delegate) and date of registration with the regulator
- Name of the regulator, registration number and date
- Details of unregulated entities, shell companies, and any operations in countries with inadequate or ineffective AML legislation
Use our template to collect this data from stakeholders - Click Here
This template can be used to collect information for the Company Context and Information section.
Customer Data
- Percentage split of customers by customer types eg individuals, companies (public/private), trusts, government associations, sole traders, partnerships, cooperatives, associations
- Percentage of any politically exposed customers (domestic and foreign)
- Percentage of any customers in high-risk jurisdictions
- Percentage split of customers by country
- Percentage split of customers by the high-risk industry sectors in which they operate
Use our templates to collect this data from stakeholders - Click Here
This template can be used to collect information for the Customer Risk section.
Employee Data
- Number of employees by role (customer-facing / Key risk roles)
- Number of employees by location
- Any adverse employment screening results
Use our template to collect this data from stakeholders - Click Here
This template can be used to collect information for the Business Risk section.
Product and Services General Data
- Products and services
- Percentage of annual revenue by product/service
- Percentage of customer base by product/service
- Number of suspicious reports by product/service
Use our templates to collect this data from stakeholders - Click Here
This template can be used to collect information for the Product Risk section.
Products and Services Detail Data
- Details of products and services offered
- How funds/money is received into and withdrawn out of each product
- How funds/money is received from customers and paid out / refunded to them, or third parties for each service offered
Use our templates to collect this data from stakeholders:
This template can be used to collect information for the Product Risk section.
Controls Data
Controls that are implemented to mitigate the inherent risk of risk factors.
Use our template to collect this data from stakeholders - Click Here
This datasheet can be used to collect information about your controls.
All Data Templates
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