Maintain a defensible control framework aligned to your regulatory obligations.
| Control | Category | Status | Priority | Owner | Last Review | Evidence |
|---|---|---|---|---|---|---|
Enhanced Due Diligence Programme For the highest-risk customers, run a deeper, joined-up due diligence package (extra evidence, senior sign-off, closer monitoring) and make sure it actually happens before and during the relationship. | Customer Due Diligence | Not Started | High | Unassigned | Not set | 7 |
PEP Screening Flags customers who are senior public officials or their close associates so the firm applies extra checks before and during the relationship. | Screening | Not Started | Medium | Unassigned | Not set | 5 |
Adverse Media Screening Searches news and public sources for negative stories about a customer (fraud, corruption, crime) so the firm spots risk that lists alone miss. | Screening | Not Started | High | Unassigned | Not set | 5 |
Showing 1 to 3 of 3 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.