Control Register

Maintain a defensible control framework aligned to your regulatory obligations.

Designed from the Bastion Capital London Limited (FCA 2023, £2.5m) enforcement case
Total Controls
6
Across 1 categories
Implemented
0
0% of total
In Progress
0
0% of total
Gaps
0
0% of total
Needs Review
0
0% of total
High Priority
5
83% of total
Saved views Soon
ControlCategoryStatusPriorityOwnerLast ReviewEvidence
Customer Identification & Verification (CIP/CDD)
Before a customer can use the account, prove they are who they say they are using reliable, independent evidence, not just what they typed into the form.
Customer Due DiligenceNot StartedHighUnassignedNot set6
Beneficial Ownership Identification & Verification
For any company or trust customer, find out who really owns or controls it (the actual humans), and prove it, before letting them transact.
Customer Due DiligenceNot StartedHighUnassignedNot set7
Expected Activity Profiling at Onboarding
At sign-up, ask and record what normal looks like for this customer (how much, how often, to where) so monitoring can later spot when they behave nothing like that.
Customer Due DiligenceNot StartedMediumUnassignedNot set5
Customer Risk Assessment & Rating
Score each new and existing customer for money-laundering risk from clear factors (who they are, what they do, where they are) so the firm spends most effort on the riskiest ones.
Customer Due DiligenceNot StartedHighUnassignedNot set7
Source of Funds Verification
For a specific large or unusual deposit, establish and evidence where that exact money came from before it is used.
Customer Due DiligenceNot StartedHighUnassignedNot set6
Source of Wealth Corroboration (High Risk / PEP)
For high-risk and PEP customers, understand and prove how they built their overall wealth (not just one deposit), and make sure that story is plausible and independently corroborated.
Customer Due DiligenceNot StartedHighUnassignedNot set7

Showing 1 to 6 of 6 controls

This tool produces a control specification for design and discussion. It is not legal advice; validate thresholds, ownership and status against your own risk assessment and the cited sources before implementing. Your register is kept in this browser (not on a server); we only store the contact details you provide when you request an export.