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AML/CFT guide for small financial adviser businesses

Page last updated: 16 Jan 2012

This guide is designed to help financial advisers working independently or in a small business comply with their obligations under the Anti-Money Laundering and Countering the Financing of Terrorism Act 2009 (the AML/CFT Act) and associated regulations (together AML/CFT law).

AML/CFT guide for small financial adviser businessesIt discusses the role small financial adviser businesses play in the AML/CFT regime, and how they can begin to comply with their AML/CFT obligations. It focuses on risk assessments, customer due diligence (CDD) and suspicious transaction reports (STR) because they are particularly important obligations under the AML/CFT regime, which affect financial advisers in a unique way