Policy and Procedure Preparation

The policies a company has put in place to fulfil its regulatory requirements form the basis of its AML and compliance strategy. Although the AML standards have some common requisites, their implementation must benefit a business and be able to be adopted, implemented, and enforced to ensure the business is protected.

It is crucial for a firm to have a set of guidelines that ensure compliance is maintained and evidenced successfully. The expertise of GoCompliance can be quite helpful in interpreting the demands of the various regulators and assisting firms in putting into place a set of written policies and procedures in addition to training.

We work with the compliance officers within a firm to offer custom policies and procedures that adhere to the regulations without having an impact on the operation of the business until it is absolutely essential.

Documents we prepare

• Anti-Money Laundering Policy
• MLRO Report Template
• AML Company Risk Assessment Template
• Tax Evasion Policy
• Due Diligence Policy & Procedures
• Supplier Due Diligence Questionnaire
• Employee Due Diligence Questionnaire
• Customer Due Diligence Questionnaire
• Enhanced Due Diligence Questionnaire
• Risk Management Policy & Procedures
• Anti-Bribery & Corruption Policy
• Whistleblowing Policy
• Conflict of Interest Policy & Register
• Retention Policy
• Outsourcing Policy
• Suspicious Activity Reporting Form Template
• Suspicious Activity Reporting Procedures
• Training & Development Policy