Maintain a defensible control framework aligned to your regulatory obligations.
| Control | Category | Status | Priority | Owner | Last Review | Evidence |
|---|---|---|---|---|---|---|
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 Diligence | Not Started | High | Unassigned | Not set | 6 |
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 Diligence | Not Started | High | Unassigned | Not set | 7 |
PEP Identification & Enhanced Due Diligence Spot customers (and their close family and associates) who hold or held prominent public office, then apply extra checks and senior approval because they carry higher corruption risk. | Customer Due Diligence | Not Started | High | Unassigned | Not set | 7 |
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.