Matley | AML Compliance Questionnaire

AML Compliance Questionnaire

Welcome to Matley. Please complete all the fields below;

Business Name

Contact Person

Email Address

What services does your business provide?

Have you identified the risks to your business?

Have you created polices and controls for your AML/CFT program?

Have you created procedures to meet the above policies and controls?

Who is your appointed AML compliance officer?

What training & testing has been provided to staff and key personnel?

Have you kept training records?

Are all clients subjected to Customer Due Diligence, and to what level?

What methods are used to verify identification of clients

What ongoing monitoring of clients is conducted?

Have any Suspicious Activity Reports been filed?

What processes are in place to mitigate ongoing risk to your business?

Have there been any instances of non-compliance by your business?

What records do you hold of your own monitoring and review of your risk assessments and program?

Address

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