Maintain a defensible control framework aligned to your regulatory obligations.
| Control | Category | Status | Priority | Owner | Last Review | Evidence |
|---|---|---|---|---|---|---|
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 Diligence | Not Started | High | Unassigned | Not set | 7 |
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 |
Real-Time Payment Screening Checks the names, banks and countries on each payment message against sanctions lists in real time and holds anything that hits before the money leaves. | Screening | Not Started | High | Unassigned | Not set | 5 |
Correspondent Banking Due Diligence Before banking another bank, the firm checks that respondent's ownership, controls and customers so it does not unknowingly process crime or sanctions risk on their behalf. | Screening | Not Started | High | Unassigned | Not set | 6 |
Trade-Based Money Laundering Controls Checks trade finance deals for tell-tale signs of laundering, such as over- or under-priced goods, dual-use items and shell counterparties, before the firm finances or pays for them. | Screening | Not Started | High | Unassigned | Not set | 6 |
Showing 1 to 5 of 5 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.