Model documents and checklists from our premium databases
The ICAEW Library subscribes to specialist databases which provide regularly updated model documents and checklists relating to anti-money laundering. Below are examples of documents we can email to ICAEW members, ACA students and other entitled users.
Anti-money laundering compliance review checklist
A checklist for assessing compliance with a firm’s anti-money laundering policies, controls and procedures.
Customer due diligence checklists
Checklists for assessing whether the firm has sufficient information about a client, and for assessing a client’s risk profile. Separate checklists are available for individuals and for entities.
Customer due diligence decision tree
A flowchart setting out key questions which one ought to consider when deciding whether customer due diligence measures are required or not.
Example money laundering clause for engagement letters
A suggested money laundering clause for inclusion in a letter of engagement, informing clients of the accountant’s responsibilities in this regard.
Example policies and procedures
A set of example policies and procedures for the prevention of activities related to money laundering and terrorist financing. Areas covered include risk assessment and management, record keeping, and training.
Identification forms
A range of forms to assist firms in establishing the identity of a client and/or any beneficial owners.
Initial and annual confirmation of money laundering awareness
A template form through which principals and staff may confirm their awareness of, and compliance with, the firm’s anti-money laundering procedures, and that they have received the relevant training.
Suspicious activity report checklists
Checklists setting out questions which one might ask should they be in doubt as to whether to report a suspicious activity to their MLRO, or whether to make a SAR to the NCA.
Contact the Library enquiry team on +44 (0)20 7920 8620 or email library@icaew.com to request documents or get help with research. The service is free for ICAEW members, ACA students and other permitted users.
Books in the ICAEW Library collection
In addition to the above resources, the collection of the ICAEW
Library & Information Service also includes a range of print books which provide practical guidance on anti-money laundering. Many of these contain model documents and/or checklists. Key titles available to borrow from the Library include:
Money laundering compliance, 4th ed.
This book presents a detailed overview of anti-money laundering (AML) and combating the financing of terrorism (CFT) provisions in the UK and other key international jurisdictions, including the Bahamas, Bermuda, the Cayman Islands, Guernsey, the Isle of Man, Jersey, Singapore, Switzerland and the United States.
Risk and compliance: questions and answers
Provides practical guidance on points that those tasked with risk and compliance in their firm or business need to consider, with 200 questions and answers. Sections cover anti-money laundering, financial crime and regulation and compliance: including SRA accounts rules and compliance questions for running a law firm.
Financial crime: a compliance manual
A practical guide to complying with financial crime legislation and regulation, aimed at both law firms and in-house legal teams. Includes sample policies, procedures, guidance and risk registers.
Anti-money laundering toolkit, 3rd ed.
This book, aimed at all providers of legal services, sets out practical guidance on how to combat money laundering. It contains model checklists, forms, policies and other templates.
To find out how you can borrow books from the Library please see our guide to borrowing books.
You can obtain copies of articles or extracts of books and reports through our document supply service.
eBooks
The Library & Information Service also provides access to a number of eBooks covering anti-money laundering as a benefit of membership. Please log in to access these titles. If you are unable to access an eBook, please see our Help and support or contact library@icaew.com.
Exclusive
Money laundering
A chapter outlining money laundering law and practice in the UK and its application to the accountancy sector. Considers issues such as risk assessment, tipping off, client confidentiality, and the application of privilege to the accountancy profession.
Exclusive
Bribery Act, The
An overview of the offences in the UK relating to bribery, corruption, the Fraud Act and money laundering.
Exclusive
Anti-money laundering
Focuses on the UK's AML regime but also provides an introduction to the key concepts of the counter-terrorist financing (CTF) regime, which often overlap.
Disclaimer
ICAEW accepts no responsibility for the content on any site to which a hypertext link from this site exists. The links are provided ‘as is’ with no warranty, express or implied, for the information provided within them. Please see the full copyright and disclaimer notice.