• AML/CFTR Division 5.1.D AML/CFTR Division 5.1.D Reporting records

    • AML/CFTR 5.1.10 Reporting records to be made by MLRO etc

      The MLRO of a firm must make and keep records:

      (a) showing the details of each internal suspicious transaction report the MLRO receives;
      (b) necessary to demonstrate how rule 5.1.5 (Obligations of MLRO on receipt of internal report) was complied with in relation to each internal suspicious transaction report; and
      (c) showing the details of each suspicious transaction report made to the FIU by the firm.
      Derived by QFCRA RM/2019-8 (as from 1st February 2020)