Standard Guidelines Anti-Money Laundering and Counter Financing ...

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STANDARD GUIDELINES ON AML/CFTUPW/GP1CONTENT1. INTRODUCTION 12. APPLICABILITY 13. DEFINITION 13.1. Money laundering 13.2. Financing of terrorism 24. CUSTOMER ACCEPTANCE POLICY 34.1. General 34.2. Risk Profiling 35. CUSTOMER DUE DILIGENCE 35.1. General 35.2. Individual Customers 45.3. Corporate Customers 55.4. Clubs, Societies and Charities 55.5. Legal Arrangements 65.6. Beneficial Ownership and Control 65.7. Reliance on intermediaries for CDD 65.8. Non-face-to-face Business Relationship 75.9. Foreign Politically Exposed Persons 75.10. Higher risk customers 85.11. Existing customers 9Page6. RECORD KEEPING 96.1. Retention Period 96.2. Audit trail 96.3. Format 107. ON-GOING MONITORING 107.1. General 107.2. Management Information System 107.3. Special Attention 118. SUSPICIOUS TRANSACTION REPORTING 118.1. General 118.2. Reporting mechanisms 128.3. Triggers for submission of suspicious transaction report 138.4. Other issues 139. COMBATING THE FINANCING OF TERRORISM 14i
STANDARD GUIDELINES ON AML/CFTUPW/GP110. AML/CFT COMPLIANCE PROGRAMME 1510.1. Policies, Procedures and Controls 1510.2. Staff Integrity 1610.3. Compliance Officer 1610.4. Staff Training and Awareness Programmes 1710.5. Independent Audit 1911. NON-COMPLIANCE WITH PROVISIONS UNDER THE AMLA 20APPENDICESAppendix I - Glossary 22ii
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Standard Guidelines Anti-Money Laundering and Counter Financing ...

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