Folder Structure (Financial Crime Team)

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Folder Structure (Financial Crime Team) by Mind Map: Folder Structure (Financial Crime Team)

1. 5MLD

2. Advance Reports

2.1. Advance fortnightly emails

3. AML annual compliance review

3.1. 2013

3.2. 2014

3.2.1. AML compliance monitoring

3.2.2. Tax department

3.3. 2016 review for AML records

3.3.1. Review responses

3.4. 2017

3.5. 2018

3.5.1. partner reports

4. AML digest

4.1. Aug 2017

4.2. Issue 2

5. AML firmwide training

5.1. 2008

5.1.1. Bournemouth

5.1.1.1. Carter Richard

5.1.2. Bristol

5.1.3. Edinburgh

5.1.3.1. Gemmell, Janice

5.1.4. Harrogate

5.1.5. High Wycombe

5.1.6. Inverness

5.1.7. London

5.1.8. Manchester

5.1.9. Pending

5.1.9.1. EMPTY FOLDER

5.1.10. Peterborough

5.2. 2010

5.3. 2011

5.4. 2013

5.4.1. 2013 Inhouse training

5.4.2. Annual Conference

5.5. 2014

5.6. 2015

5.7. 2016

5.8. MLRO training

5.8.1. July 2012

5.9. Ongoing training status

5.10. Updates for Partners

5.10.1. 2012

5.10.2. 2013

6. AML forms

6.1. Amendments pre May 2018 forms Word

6.1.1. Additional forms

6.2. Testing AP

6.2.1. March 2019

6.2.1.1. Built PDFs with buttons etc - use so you dont miss any buttons & points!

6.2.2. November 2018

6.2.3. Pre May 2018 PDF PCC forms

6.2.4. Previous versions

7. AML Jurisdictional Risk Index

7.1. 2017-18

7.1.1. Basel Index

7.1.2. FATF

7.1.3. TI

7.1.4. US Department of Defence - International Narcotics Control Strategy Report

7.2. November 2018 sources

8. AML Manual

9. AML Trial July 2018

9.1. Anderson, Yvonne

9.2. Goffort-Hall, Lance

10. Business Risk Assessment

11. Change Schedule

12. Client money and other monies

12.1. 2015

12.1.1. Mr A

12.2. 2017

13. Donna Ciara

14. GDPR

14.1. Guernsey Agreement

14.2. Smartsearch

14.3. Third Party checklist

15. Guidance documents re client acceptance

16. ICAEW Guidance

17. Intermediaries list

17.1. FOLDER CONTAINS INDIVIDUAL CLIENT FOLDERS - HOW WILL THIS BE STRUCTURED IN NETDOCS

18. KYC on Saffery Champness

18.1. March 2018

19. LLP

20. ML Client DD

20.1. A Deynega - James Sykes

20.2. c6

20.2.1. Monitor

20.3. c6 searches

20.3.1. 2013

20.3.2. 2014

20.3.3. 2015

20.3.4. 2016

20.4. Divorce cases

20.5. Email forms

20.6. Emails to firm

20.7. Imperium trusts

20.8. MBK

20.9. ML Matters

20.9.1. Fraud cases

20.9.2. B&K Geneva

20.10. Mr and Mrs Bazarov April 2016

20.11. New client DD acquiring blocks of business

20.11.1. Ben Melling client take on

20.11.2. Tenon

20.12. New Client Lists

20.12.1. Maksat Arp 2018

20.12.2. 2008-2009

20.12.2.1. 01 Follow-up Jan-Aug 2008

20.12.2.2. 02 Follow-up Sept & Oct 2008

20.12.2.3. 03 Follow-up Nov 2008 - NOT SUED

20.12.2.4. 04 Follow-up re Sept08-Feb09

20.12.2.5. 05 Follow-up - misc

20.12.2.6. 06 Follow-up re Sept08-Jul09

20.12.2.7. 07 Follow-up re Sept08-Nov09

20.12.3. 2010

20.12.3.1. Chase lists

20.12.3.2. Checklist

20.12.4. 2011

20.12.4.1. Chase lists

20.12.4.2. Checklists

20.12.5. 2012

20.12.5.1. Chase lists

20.12.5.2. Checklists

20.13. New folder

20.14. New folder (2)

20.15. Ongoing Monitoring Forms SJG

20.16. Patrick Welsh

20.17. Paystream ad Paul Bell

20.18. Rinat

20.19. Trial Data - Risk Assessment 2008

20.19.1. Replies

20.20. Vadim Benyatov

21. MLRO annual report

21.1. 2013

21.2. 2013 follow up

21.3. 2014

21.4. 2015

21.5. 2016

21.6. 2017

21.7. 2018

22. MLRO mid tier

22.1. 2015

22.2. 2016

23. New company incorporation - CDD process

24. News articles and publications (AML)

25. Offshore leaks

25.1. Address search on advance for Panama

25.2. Mossack Fonseca

25.2.1. Email search

25.2.2. MLRO network

25.2.3. Partner responses

25.3. Paradise Papers

26. Ongoing monitoring

26.1. 19 April 2018 - partner lists

26.2. 19 November 2018 PIQ AML outstanding

26.2.1. 03.04.19 updates

26.2.1.1. Confirmation from Partners

26.2.2. Individual worksheet

26.2.3. Macro

26.2.4. Source

26.3. Ongoing monitoring June 2018

26.3.1. Emails to partners

26.3.2. Responses

26.4. Review of bulk upload to SmartSearch

26.4.1. Latest edits to data - Jack Beard

26.5. Smart Search audit

27. Outlook archive

28. Policies Procedures and Controls

28.1. Ongoing monitoring

28.2. Reliance on our AML documentation

28.3. Revision of intranet

28.3.1. 2014

28.3.1.1. FATCA

28.3.2. 2015

28.3.2.1. new header on business form

28.3.3. 2016

28.4. Sign off of enhanced risk in certain circs

28.5. World Check requests

29. Recognised stock exchanges

30. Requests from authorities

30.1. 2016

30.2. 2017

30.3. 2018

30.3.1. UWOs

31. Risk Matrix

32. SARS

32.1. 2003

32.1.1. 2003

32.2. 2004

32.2.1. 2004

32.3. 2005

32.3.1. 2005

32.4. 2006

32.4.1. 2006

32.5. 2007

32.6. 2008

32.7. 2009

32.7.1. Not reported

32.7.2. Pending

32.7.2.1. 1 sub folder

32.7.3. To SOCA

32.7.3.1. 13 sub folders

32.8. 2010

32.8.1. 18 sub folders

32.9. 2011

32.9.1. Not Reported

32.9.1.1. 3 sub folders

32.9.2. Pending

32.9.3. Reported

32.9.3.1. 8 sub folders

32.10. 2012

32.10.1. Not Reported

32.10.1.1. 1 sub folder

32.10.2. Reported

32.10.2.1. 10 sub folders

32.11. 2013

32.11.1. 18 sub folders

32.12. 2014

32.12.1. 16 sub folders

32.13. 2015

32.13.1. 30 sub folders

32.14. 2016

32.14.1. 21 sub folders

32.15. 2017

32.15.1. 22 sub folders

32.16. 2018

32.16.1. 24 sub folders

32.17. 2019

32.17.1. 45 sub folders

32.18. Codes

32.19. SAR reform programme

32.20. SOCA Suspicious Activity Reports_files

32.21. WDF Disclosures

33. SC business structure

34. temp AML ID folder for SAM

34.1. Ishbel Macpherson

34.2. James E Sugden

34.3. Mark Brooke

34.4. Philip Dayer

34.5. Tanya E Brooke

34.6. Tanya E Brooke

35. Third party suppliers

35.1. CreditSafe

35.1.1. Demo phase & quote

35.2. Orbis

35.3. SmartSearch

36. Training

36.1. 2018

37. Use of Advance

37.1. Adv reports

37.1.1. MLRO outstanding reports

37.1.1.1. 2015

37.1.1.2. 2016

37.1.1.3. MB1 outstanding reports

37.1.1.4. pre 2015

37.1.2. Stats July 2014

38. Guidance from regulators

39. Intranet guidance - SharePoint

39.1. DRAFTS - yet to be published

39.2. Final PDFs to upload to SharePoint - March 2019

39.3. Guidance documents - Final Versions (Word-Excel)

39.4. Track change versions