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£59.95
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7 November 2012
Law Society Publishing
9781907698583
Paperback and CD-Rom
246 x 172 mm
136 pages
Anti-Money Laundering Toolkit
Overview
Lawyers act as gatekeepers for both the financial and legal systems within the UK. Parliament hasspecifically included lawyers within the group of professionals required to take steps to prevent moneylaunderers and terrorist financiers making use of their services.
As a result, every law firm has to have effective anti-money laundering policies in place. The Anti-MoneyLaundering Toolkit is designed to provide firms with practical 'need to know' information and contains amixture of draft policies and procedural checklists to help practitioners demonstrate due diligence, such as:
- Compliance checklists
- Client identification and verification forms
- File opening procedures and policies
- Risk identification
- Reporting, notification and monitoring forms and checklists
- MLRO policies.
The written procedures provide a working resource which practitioners can use to prepare for and administertheir duties under the legislative framework and the SRA Handbook.
All of the draft policies and forms are contained in the accompanying CD-ROM which can be customisedas needed.
Contents
1. Setting up systems;
2. Assessing risk to the legal practice;
3. Client inception;
4. Due diligence during the retainer;
5. Managing risks around source of funds;
6. Making reports;
7. Client exit strategy;
8. Training;
9. Record keeping;
10. Monitoring compliance.
About the Authors
Alison Matthews is one of the UK's leading experts on money laundering and professional conduct.She was chair of the Law Society's Money Laundering Taskforce, and was a member of the Government'sMoney Laundering Advisory Committee.