A full AML compliance review programme – governance, risk assessment, policies, CDD file testing, reporting, sanctions, training, records – plus an annual compliance calendar and a pack for an ACCA or other supervisory visit.
Accountancy practice – compliance & management
AML Independent Review and Supervisory Visit Readiness Checklist
About this document
A checklist to test whether the firm’s AML policies, controls and procedures are well designed, implemented and working. Use it for the MLRO’s periodic compliance checks, for an independent audit function under regulation 21(1)(c), or to prepare for a monitoring review by ACCA or another supervisor, which tests the same areas.
The document is laid out in the sections below. Each one comes with a plain-English guidance note explaining what it does and what to change.
Our templates are professionally structured starting points for UK businesses, not legal advice. For anything complex, unusual or high-value, have your final version checked by a solicitor.
Included in the pack
Accountancy practice – compliance & management
for every document in this category
Editable Microsoft Word files
Guidance notes in every document
Written for UK businesses
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