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AML/CTF Document Bundle (Product Issuer (Licensee)) (Archived 2022-03-11)

Before providing a designated service, a business is required to have in place an Anti-Money Laundering and Counter-Terrorism Financing Program (AML/CTF Program).

Your AML/CTF Program and other associated documents must set out how you will comply with your obligations under the Anti-Money Laundering and Counter-Terrorism Financing Act 2006 (Cth) and Anti-Money Laundering and Counter-Terrorism Financing Rules 2007 (Cth).  This includes your AML/CTF-related processes, checks and procedures.

Do you know what your obligations are?

Do you comply?

Your AML/CTF Program must be based on your Money Laundering/Terrorism Financing (ML/TF) Risk Assessment, which assesses the risk that your business could be used for money laundering and/or terrorism financing, and sets out the controls that you have implemented to control this risk.  Your AML/CTF Program should include all of your AML/CTF-related processes, checks and procedures.

Amongst other things, your AML/CTF Program will need to include specific details in relation to:

  • how you will comply with your reporting obligations, (and the systems and controls to ensure compliance with those reporting obligations);
  • your business’ AML/CTF risk assessment;
  • your risk-based systems and controls to monitor customer transactions; and
  • the identification procedures which apply to your customers.

This template reflects the generic obligations of businesses providing product issuer (licensee) services, and must be tailored to reflect your business.

Included documents

  • AML/CTF Program (Product Issuer (Licensee)) (Archived 2022-03-11) Program Ver. 1 - 29 Jan 2021
  • AML/CTF Annexure C (Product Issuer) (Archived 2022-03-11) Tool Ver. 1 - 18 Nov 2020
  • AML/CTF Annexure D (Archived 2022-03-11) Tool Ver. 1 - 18 Nov 2020
  • AML/CTF Risk Register (Product Issuer) (Archived 2022-03-11) Register Ver. 1 - 17 Feb 2021
  • AML/CTF Risk Register User Instructions Tool Ver. 1 - 25 Feb 2021
  • AML/CTF Compliance Officer Report Tool Ver. 1 - 01 Mar 2021
Price
$2,500.00
+GST
: $250.00
TOTAL
: $2,750.00

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