The periodic and trigger-event review that keeps each client’s due diligence and risk rating up to date, with a trigger event list, change checks, a review diary and sign-off.
Accountancy practice – compliance & management
Ongoing Monitoring and Client Due Diligence Review Form
About this document
Regulation 28(11) requires ongoing monitoring of every business relationship: scrutinising activity to make sure it is consistent with what you know about the client, and keeping CDD documents and information up to date. This form records each review, what changed, whether the risk rating still stands and what new due diligence was obtained.
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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