Form Number (4)
Effective from 30/4/2020Internal Audit Report | |||||||
Controls | Finding | Potential effect | Recommendation | Priority | Management response | Target date | Effectiveness From (1-5) |
AML/CFT systems |
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Policies and procedures |
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Risk-Based Approach ("RBA") |
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Customer Due Diligence – CDD |
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Suspicious Transaction reports |
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Record Keeping |
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Training |
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AML Officer, Compliance Officer |
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Ongoing monitoring |
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Enhanced Due Diligence ("EDD") |
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ETC…. |
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