Fined for AML failings? Start with the two documents you are missing
A fine or a failed inspection often comes back to the same two gaps: no written risk assessment of the firm, and no written policy. Both can be put right quickly.
What we do
You answer questions about your firm. We write a personalised AML policy and firm-wide risk assessment and send them as Word files within 5 working days. If you have a deadline, express delivery is within 1 working day for an extra fee.
What this does for you
- You have a written policy and risk assessment that describe your firm as it is today.
- You have a guidance note on what to put in place next.
- You have something to build on while you arrange fuller work.
What it does not do
We do not reply to your supervisor, deal with the fine or an appeal, review your client files or train your staff. No one can promise how a supervisor will view any document. If you have been given a deadline or specific findings, read them carefully and take advice on your response.
If you have a deadline
Tell us the date in your enquiry and choose express delivery if you need it.