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AML/CFT Workflow

What does each module provide?
AML/CFT Workflow & Guidance equips lawyers and compliance officers with the information they need to fully understand the AML/CFT regime

AML/CFT Workflow

What does each module provide?
AML/CFT Workflow & Guidance equips lawyers and compliance officers with the information they need to fully understand the AML/CFT regime

AML/CFT Workflow

What does each module provide?
AML/CFT Workflow & Guidance equips lawyers and compliance officers with the information they need to fully understand the AML/CFT regime

AML/CFT Workflow

Benefit from detailed step-by step expert guidance on the responsibilities of AML/CFT Compliance Officers

AML/CFT Workflow

Benefit from detailed step-by step expert guidance on the responsibilities of AML/CFT Compliance Officers

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AML/CFT Workflow & Guidance

Thomson Reuters and AML/CFT expert lawyer Gary Hughes have partnered to produce this best practice workflow tool designed to explain in detail what lawyers need to do to meet the compliance requirements of the AML/CFT regime and its regulators.

Written by a lawyer to meet the needs of lawyers, AML/CFT Workflow & Guidance is:

  1. The most comprehensive guide on the market for complying with Phase 2 of the AML/CFT regime!
  2. Written with the compliance officer in mind.
  3. A must have for all law firms and compliance officers who wish to ensure that they adopt a “best practice” approach to AML/CFT compliance

 

Overview

In the AML/CFT Workflow & Guidance modules author Gary Hughes:

  1. Describes every major aspect of the AML/CFT regime;
  2. Advises lawyers on how to ensure that their AML/ CFT compliance documentation not only complies with the AML/CFT Act and Regulations but will also withstand the scrutiny of the Department of Internal Affairs (the AML/CFT Supervisor).

 

What does each module provide?

AML/CFT Workflow & Guidance equips lawyers and compliance officers with:

  1. The information they need to fully understand the AML/CFT regime;
  2. The steps that they need to take to be fully compliant with the regime.
  3. Advice and tips on drafting and structuring AML/ CFT documentation that will show the AML/CFT Supervisor that they have properly understood and engaged with the regime;
  4. Advice on traps to avoid when developing their AML/ CFT compliance programmes;
  5. Ways to ensure that law firms’ AML/CFT programmes are subjected to ongoing monitoring and constant quality control.

 

Benefit from detailed step-by step expert guidance on:

  1. The kinds of conduct that fall within the legal definition of Financial Crime , including within the definition of money laundering (ML) and terrorism financing (FT).
  2. The compliance requirements in the AML/CFT Act 2009
  3. The responsibilities of AML/CFT Compliance Officers
  4. The nature and contents of AML/CFT Risk Assessments
  5. Preparing the AML/CFT Compliance Programme
  6. Developing Client Due Diligence materials
  7. Dealing with requirements for Suspicious Activity Reports (SARs) and Prescribed Transaction Reports (PTRs)
  8. Dealing with the AML/CFT Supervisor
  9. Ongoing review and AML/CFT Audits; and
  10. The AML/CFT enforcement process.

The Modules

MODULE AVAILABLE
PURPOSE AND APPROACH OF THE MODULES Now
INTRODUCTION TO THE AML REGIME Now
WHAT IS FINANCIAL CRIME? Now
RESPONSIBILITIES OF THE AML/CFT COMPLIANCE OFFICER Now
COVERAGE Now
RISK ASSESSMENT Now
COMPLIANCE PROGRAMME (part one)  – Due Diligence Obligations April
COMPLIANCE PROGRAMME (part two) – Other Obligations April
REPORTING of SARs AND PTRs April
DEALING WITH THE SUPERVISOR, AUDITOR, AND ENFORCEMENT April

Who is Gary Hughes?

Gary Hughes

Gary is a senior lawyer providing advocacy, dispute resolution and strategic risk management advice, specialising in all types of regulatory investigations and cases. He is widely regarded as New Zealand’s leading lawyer for Anti-Money Laundering expertise, having advised/represented around 150 financial reporting entities (and a few lawyers) grappling with AML law since 2008 – and before that worked on AML cases in London. In 2016 Gary commenced practice as a barrister sole. He was previously a partner at Wilson Harle, and before that with Chapman Tripp (Auckland) and Clyde & Co (London).