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)