Money Laundering Reviews

A money laundering compliance review is the ideal way of ensuring your firm is implementing the correct anti money laundering procedures to comply with the 2007 Money Laundering Regulations and, more importantly, whether they're being adhered to.

Your review will check to ensure there is evidence of adequate money laundering training for all principals and relevant staff. Your firm’s written procedures will be reviewed to ensure they are appropriate and being followed. In addition, SWAT UK will test the adequacy of identification for new clients, and the evidence of anti money laundering training for relevant staff. Whilst SWAT UK will discuss the process used to assess internal reports and make reports to SOCA, they will not review your file of reports as part of the work.

The results of the review can also be used to assist in completing the firm’s annual return.

If you would like further information, please complete the form below and on clicking submit, you will be taken to the relevant page of SWAT UK's website.

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Other available reviews:

• Audit File
• Practice Assurance/Quality Checked
• DPB/FSA
• Insolvency
• Tax
• Accounts
• Client Money