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Anti-Money Laundering, Counter-Terrorist Financing and Sanctions Module (AML) [VER9/07-13]

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The definitive version of DFSA handbook text is the PDF version as that is the text of the instrument as made and published by the DFSA.

Past version: effective from Jul 14 2013 - Aug 20 2014.
To view other versions open the versions tab on the right.


Contents:
AML 1 Introduction
AML 1.1 Application
AML 1.2 Responsibility for compliance with this module
AML 1.3 Application table
AML 2 Overview and Purpose of the Module
AML 2 Guidance
AML 3 Interpretation and Terminology
AML 3.1 Interpretation
AML 3.2 Glossary for AML
AML 4 Applying a Risk-Based Approach
AML 4.1 The Risk-Based Approach
AML 5 Business Risk Assessment
AML 5.1 Assessing business AML risks
AML 5.2 AML Systems and Controls
AML 6 Customer Risk Assessment
AML 6 Guidance
AML 6.1 Assessing Customer AML Risks
AML 7 Customer Due Diligence
AML 7.1 Requirement to Undertake Customer Due Diligence
AML 7.2 Timing of Customer Due Diligence
AML 7.3 Customer Due Diligence Requirements
AML 7.4 Enhanced Customer Due Diligence
AML 7.5 Simplified customer due diligence
AML 7.6 Ongoing Customer Due Diligence
AML 7.7 Failure to conduct or complete customer due diligence
AML 8 Reliance and Outsourcing
AML 8.1 Reliance on a third party
AML 8.2 Outsourcing
AML 9 Correspondent Banking, Wire Transfers and Audit
AML 9.1 Application
AML 9.2 Correspondent Banking
AML 9.3 Wire transfers
AML 9.4 Audit
AML 9.5 [Deleted]
AML 10 Sanctions and Other International Obligations
AML 10.1 [Deleted]
AML 10.2 Relevant United Nations resolutions and sanctions
AML 10.3 Government, Regulatory and International Findings
AML 11 Money Laundering Reporting Officer
AML 11.1 [Deleted]
AML 11.2 Appointment of a MLRO
AML 11.3 Qualities of a MLRO
AML 11.4 Responsibilities of a MLRO
AML 12 AML Training and Awareness
AML 12.1 Training and awareness
AML 13 Suspicious Activity Reports
AML 13.1 Application and Definitions
AML 13.2 Internal Reporting Requirements
AML 13.3 Suspicious Activity Report
AML 13.4 Tipping-off
AML 13.5 Freezing assets
AML 14 General Obligations
AML 14.1 Groups, branches and subsidiaries
AML 14.2 Group policies
AML 14.3 Notifications
AML 14.4 Record keeping
AML 14.5 Annual AML Return
AML 14.6 Communication with the DFSA
AML 14.7 Employee Disclosures
AML 15 DNFBP Registration and Supervision
AML 15 Guidance
AML 15.1 Registration and Notifications
AML 15.2 Withdrawal of Registration
AML 15.3 Disclosure of regulatory status
AML 16 Transitional Rules
AML 16.1 Application
AML 16.2 General
AML 16.3 Specific relief — Ancillary Service Provider and DNFBPs