Records for regulation 26 approval of beneficial owners, officers and managers and regulation 21 screening of relevant employees – declaration, criminal record check record, competence assessment and a firm register.
Accountancy practice – compliance & management
BOOM Approval, Staff AML Screening Declaration and Register
About this document
Regulation 26 requires every beneficial owner, officer and manager (BOOM) of an AML-supervised firm to be approved by the supervisor; ACCA approves BOOMs of the firms it supervises and anyone with a relevant criminal conviction listed in Schedule 3 cannot be approved. Regulation 21(1)(b) separately requires the firm to screen relevant employees, before appointment and during employment, for their skills, knowledge, expertise, conduct and integrity. This document gives you a declaration form, a screening record and a register for both.
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.
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Accountancy practice – compliance & management
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Written for UK businesses
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