Policies Controls and Procedure Templates


Under the Regulations firms must establish and maintain policies, controls and procedures to mitigate and manage effectively the risks of money laundering and terrorist financing identified in any risk assessment undertaken and the firm must maintain a written record of those policies, controls and procedures established.

We have a range of templates for the policies, control and procedure manuals suited to your sector. They are ‘tool kits’, offering a range forms and money laundering compliance checklists to be adapted to your firms individual requirements.

They are designed to aid the MLRO in preparing specific policies, controls and procedures for his firm and provide guidance for those awkward areas that from time to time arise. They are based fully on the guidance issued by JMLSG and the FCA and supplemented by additional guidance from various sector specific supervisory bodies such as HMRC dependent on which sector your firm operates in.

Policies, Controls and Procedures Templates for the Money Laundering Regulations 2017 – £195.00 + vat

A complete set of templates which aids in the requirements in the Regulations for risk sensitive policies, controls and procedures which are able to demonstrate to a supervisor your firm’s specific policies, controls & procedures for AML. It is divided into six modules and includes:

  • Module 1 is an overview of supervisory issues detailing what is expected of your firm and what a supervisor expects from you.
  • Module 2 is a selection of internal control templates, this tool kit will help you design your own internal working papers.
  • Module 3 is guidance on how to build your risk registers as required by Regulation 18.
  • Module 4 contains the templates for the actual risk register and has many suggested risks and management policy ideas.
  • Module 5 is the guidance on how to amend the Policies, Control and Procedures document to suit your firm.
  • Module 6 is the actual Policies, Control and Procedures document template, to amend and then use.

We also include a copy of Part 7 of the Proceeds of Crime Act 2002, which details the offences and penalties, and a copy of the latest CCAB Sector Specific Guidance, both required for training purposes for yourself and members of staff.

The documents are delivered electronically allowing for simple editing in word along with explanations and instructions of what is expected of you for each section.

Download a sample of the pack or order now by telephone 01706 215803, email businesstax@btc-nw.co.uk or through our own line shop

External Review of Polices Controls and Procedures

Under the Regulations businesses (other than sole practitioners with no relevant employees) must introduce a system of regular independent AML reviews, such as an external compliance review, if no internal function is available, so that the adequacy and effectiveness of systems can be better understood and any weaknesses systematically identified, in order that recommendations for improvement can be made and compliance monitored.

At BTC we offer to review your existing Policies, Controls and Procedures for their adequacy and effectiveness for compliance with the Regulations. Our expert report will detail our findings and conclusions, linking them to the specific sections of the Money Laundering Regulations and give details of recommended amendments to your compliance procedures.

Price for this service is based upon the size, complexity and nature of the business. Feel free to contact us for a quote.

Bespoke Policy and Procedure Drafting

The off shelf policies and procedures manual is a generic ‘should do’ document requiring specific input to create the firms ‘will do’ policies. As a part of our consultancy work we can help to draft specific policies and procedures for your firm, helping identifying the risks and applying appropriate management policies.