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Form Number (4)

يسري تنفيذه من تاريخ 30/4/2020

Internal Audit Report

Controls

Finding

Potential effect

Recommendation

Priority

Management response

Target date

Effectiveness From (1-5)

AML/CFT systems

 

 

 

 

 

 

 

Policies and procedures

 

 

 

 

 

 

 

Risk-Based Approach ("RBA")

 

 

 

 

 

 

 

Customer Due Diligence – CDD

 

 

 

 

 

 

 

Suspicious Transaction reports

 

 

 

 

 

 

 

Record Keeping

 

 

 

 

 

 

 

Training

 

 

 

 

 

 

 

AML Officer, Compliance Officer

 

 

 

 

 

 

 

Ongoing monitoring

 

 

 

 

 

 

 

Enhanced Due Diligence ("EDD")

 

 

 

 

 

 

 

ETC….