3 years ago

Anti Money Laundering online manual

Anti Money Laundering online manual

2 Using

2 Using Anti-Money LaunderingAnti Money laundering status is shown on the client and the matter screen on the right hand side,identified by a head and shoulders icon.Depending on the identification status of the client, there will be a differentdisplayed. In this example the client has been identified so a tick is shown.symbolClients are identified for money laundering through the matter screen, and not the client screen.2.1 When opening a New Client and MatterWhen opening a new client and matter, once the matter has been saved you will automatically enterinto the Money Laundering Module, ready to process the matter.The client and matter number will be displayed together with the matter description and the client’sfull name.The screen then splits into two sections, ML Questions and Client Identification. You will not be ableto proceed to add the identification for the client without answering the ML Questions first.If you do not wish to process the matter at this time click on ‘Cancel’. You will then be asked if youwould like to create a diary task as a reminder to obtain evidence from the clients.2.2 Guidance NotesIf a guidance note directory has been setup, the notes can be accessed from the top menu bar,‘Guidance Notes’. Select which notes you wish to print out or view.Anti Money Laundering © IRIS Legal 2012 Page 4 of 20

3 ML Questions Tab3.1 ML Regulations 2003This screen is no longer mandatory. It remains for historical purposes only. Click Continue to move tothe ML Regulations 2007 tab.This screen will display the AML Questions, Justification and Authoriser.If Firm Notes have been added by your firm, an Information Bubble will be displayed. In this examplefirm notes have been added to all questions. To view them click on the Information Bubble.AML Questions: The Questions are:1) Do you consider that this matter is within ML Regulations 2003?(a) Pre-1994 Business Relationship (Investment)?(b) Pre-March 2004 Business Relationship?(c) Falls within exceptions under regulation 5 of MLR 2003The first question will need to be answered with a Yes or a No to be able to continue.If you answered No to the first question, all other options (a) to (c) inclusive will be disabled, and theJustification Box becomes enabled. Select the required Justification from the drop down list, and clickon Finish.If you answered Yes to question 1 and No to (a) through to (c), the Continue button will becomeavailable. Click on it to continue with the identification of the matter.Anti Money Laundering © IRIS Legal 2012 Page 5 of 20

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