Guidance and Publications

We have a range of pre-prepared policy and procedure manuals suited to your sector. They are ‘tool kits’, offering a range forms and checklists to be adapted to your firms individual requirements.

Our Guides and tool kits are written in a practical, easy to understand form and packed with examples. They are designed to aid the MLRO in preparing specific policies 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 CCAB and supplemented by additional guidance from various sector specific supervisory bodies such as HMRC and the OFT, dependent on which sector your firm operates in.

Money Laundering Regulations – 8 Steps to Good Compliance £45.00

A starter guide to the compliance culture for firms in the regulated sector. It details the simple steps to getting started, understanding your role and responsibility under the UK AML Regime. It is simple and practice and full of examples of standard working papers.

Money Laundering Regulations – Policy and Procedures Manual and Tool Kit £95.00

A complete manual aids in the requirements in the Regulations for monitoring, to be able to demonstrate to a supervisor your firm’s policy & procedures for AML. It includes:

• The firms’ Policy Statement,
• Sample Risk Assessment & Risk Management Procedures
• Guidance based around the JMLSG, HMRC and CCAB
• Sample Policy and management procedures for reporting both internally and to SOCA
• SOCA guidance on reports suspicious activity reports (SARs)
• Copies off all of the relevant legislation
• A ‘Tool Kit’ section packed with working papers and other relevant items to help you prepare your firms specific policies and procedures.

Bespoke Policy and Procedure Guidance

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.