These checklists are designed as a quick reference tool to help you keep your policies and procedures current. They will be particularly useful if you who have had little or no experience so far of what to look for when identifying money laundering.
AML To-do List download
Your straight-forward list of all the steps you need to take to be compliant from Day One as a supervised ICB Member in Practice. Further explanation is available on the AML Guidance web page
Policies and Procedures Statement
All practices must download and complete this form and keep it on file
Recognising Potential Money Laundering prompt sheet
A handy, quick-reference guide to help you recognise when a client may be laundering money
Staff Training Record
Practices are required to adequately train their staff in matters of AML and this form should be used to record such training and confirm that each staff member understands their duties under the MLR
AML Online: Quick Start Guide
A handy guide for those using the AML Online system for the first time, or for those transferring their records from a paper-based system.
Client Risk Assessment
This is a manual prompt sheet for carrying out a risk assessment on a client. You should use AML Online for your official Risk Assessment; the online system will generate a risk rating for you
Client Due Diligence Record
This is a manual prompt sheet for carrying out due diligence on individuals/sole traders. You should use AML Online for filing official Due Diligence
Client Due Diligence Record
This is a manual prompt sheet for for carrying out due diligence on company/trust/charity. You should use AML Online for filing official Due Diligence
Money Laundering Internal Report
This form should be used when reporting a suspicion of money laundering internally to the MLRO
MLRO Control Report Sheet
This form should be completed by the MLRO to record an instance of suspected money laundering and its subsequent reporting
MLRO Report Log
This form should be used by the MLRO to log all reporting of suspected money laundering
AML Procedures Annual Review checklist
All practices are required to annually review the policies and procedures they have put in place for anti-money laundering. Use this handy checklist when carrying out your annual review
If you have any queries or questions please do not hesitate to contact Matthew Burrell, ICB's Compliance and Political Strategy Executive
0845 060 2345
