Anti-money laundering compliance form - Securities and Exchange - sec gov 2025

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The document is an Anti-Money Laundering (AML) Compliance Form issued by the Securities and Exchange Commission of the Philippines. It outlines the required practices and acts under the Anti-Money Laundering Act (AMLA) and its Implementing Rules and Regulations (IRR). The form includes a series of questions aimed at assessing compliance with AML policies, customer due diligence procedures, record-keeping, monitoring transactions, reporting suspicious activities, and training for personnel. It emphasizes the importance of maintaining robust internal controls to prevent money laundering activities.
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The Four (4) Pillars Of BSA/AML Compliance PILLAR #1. DESIGNATION OF A COMPLIANCE OFFICER. PILLAR #2. DEVELOPMENT OF INTERNAL POLICIES, PROCEDURES AND CONTROLS. PILLAR #3. ONGOING, RELEVANT TRAINING OF EMPLOYEES. PILLAR #4. INDEPENDENT TESTING AND REVIEW. CONCLUSION.
Firms must comply with the Bank Secrecy Act and its implementing regulations (AML rules). The purpose of the AML rules is to help detect and report suspicious activity including the predicate offenses to money laundering and terrorist financing, such as securities fraud and market manipulation.
If you run a business in the financial sector, you may need to register with an anti-money laundering scheme. Some businesses and individuals in the UK must register with a supervisory authority to follow anti-money laundering regulations.
What information is required for AML checks? Name. Photograph on an official document which confirms their identity, such as a driving licence or passport. Proof of residential address. Date of birth.
Here are the steps to obtain an AML certification: Earn a degree. Typically, AML specialists have at least a bachelors degree in finance, economics, financial management or a similar discipline. Earn AML or banking experience. Prepare for your ACAMS exam. Pass the ACAMS or equivalent exam. Apply for AML positions.

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Anti-money laundering (AML) refers to the activities financial institutions perform to achieve compliance with legal requirements to actively monitor for and report suspicious activities.

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