0 of 12 answered
1. Does your firm have a documented, Board-approved AML/CFT policy?
Yes No
2. Do you screen buyers/sellers against sanctions and PEP lists at onboarding?
Yes No
3. Do you re-screen existing clients on an ongoing basis?
Yes No
4. Do you have a designated Compliance Officer / MLRO?
Yes No
5. Do you conduct risk-based CDD vs. EDD routing for clients?
Yes No
6. Do you maintain UBO/beneficial-ownership records for corporate clients?
Yes No
7. Do you have a documented process for filing SARs/STRs?
Yes No
8. Do you track statutory compliance deadlines (policy renewal, training, audits)?
Yes No
9. Have your staff completed AML red-flag training in the last 12 months?
Yes No
10. Do you retain KYC/screening records per statutory retention requirements?
Yes No
11. Do you have an audit trail for risk-rating changes and screening decisions?
Yes No
12. Have you had an independent AML gap-assessment or mock audit in the last 12 months?
Yes No
