A sample monthly pack

Monthly AML/CTF pack: Example Accounting Pty Ltd

Month: [month year] · Prepared by Plain AML · Reviewed by: [compliance officer]

1. This month at a glance

New client files opened

2

Existing clients re-screened (sanctions and PEP)

22 of 22, no matches

Matters escalated

1

Reports to AUSTRAC drafted

0

Staff training

Current. Next due [date]

Next AUSTRAC deadline

[date]: annual compliance report

2. Checks we tested

A second person re-performed 2 of the 2 new-client checks and 3 of 22 sampled existing-client checks. All 5 matched the original result. Nothing needed correcting.

3. What changed in your business

You told us a new junior started on 3 [month]. We've added them to the training register and checked the risk assessment: no change to the risk rating. If you add a service, client type or office, tell us within 14 days so we can update the risk assessment.

4. Decision log

Matter escalated

New trust client with an overseas beneficiary

Who decided

Compliance officer, on our draft note

Outcome

Enhanced checks done. No report needed. Reasons recorded

5. What we did not do

• We didn't submit anything to AUSTRAC. That's your call.
• We didn't verify one beneficial owner for a trust client. Waiting on the trust deed from you.

6. Where the evidence is

Each item above links to the stored record in your client folder: identity results, screening logs, training certificates, the decision note and the risk assessment version in force.

Prepared with software assistance and reviewed by a named person at Plain AML.