Financial Crime World

Anti-Money Laundering (AML) and Counter-Terrorist Financing (CTF) Report Template

This report template is designed for financial institutions to comply with anti-money laundering (AML) and counter-terrorist financing (CTF) regulations. The template requires firms to provide information about their customer relationships, suspicious activity reports (SARs), introducers, appointed representatives, staff resources dedicated to financial crime, and sanctions matches.

Report Sections

1. Customer Information

The following questions pertain to customer information:

  • Q7-16: Provide numbers of customer relationships located in specific geographical areas.
    • Note: These fields require the entry of numerical values.
  • Q17: Report the number of customers linked to high-risk jurisdictions identified by the firm.
    • Estimate on a reasonable endeavours basis.
  • Q18A&B: Report the number of customer relationships refused or exited for financial crime reasons during the reporting period.
    • Note: These fields allow for estimates or best endeavours responses.

2. Compliance Information

The following question pertains to compliance information:

  • Q21: Report the number of suspicious activity reports (SARs) submitted under Part 7 of the Proceeds of Crime Act 2002 (POCA).
    • Note: This field requires the entry of a numerical value.

3. Introducers and Appointed Representatives

The following question pertains to introducers and appointed representatives:

  • Q23: Report the total full-time equivalent (FTE) staff dedicated to financial crime roles.
    • Note: This field allows for estimates or best endeavours responses.

4. Sanctions-Specific Information

The following questions pertain to sanctions-specific information:

  • Q28A&B: Report the number of true sanctions matches detected during the reporting period.
    • Estimate on a reasonable endeavours basis.

Important Notes

  • The report requires firms to provide information on a reasonable endeavours basis, and some fields allow for estimates or best endeavours responses.
  • Firms should note that this report is used to monitor compliance with AML/CTF regulations and may be subject to review by regulatory authorities.