Anonymised Anti-Money Laundering (AML) case studies, to assist members in reviewing AML policies and procedures, are available on our enforcement notices page – click here.

Bordereau reminder

Having recently received a small number of emails that have highlighted some confusion regarding the process for submitting monthly bordereau returns, we would like to take the opportunity to set out the requirements for our members.

All appointment-taking licence holders are required to submit a return on or before the 20th of each month. This should be emailed to [email protected]. Please note that there is also a requirement to submit nil returns.

Returns are to include the following information:

  • Name of the IP
  • Entry type (i.e. Add, Increase, or Release)
  • Date of appointment
  • Name of the case
  • Court reference (if applicable)
  • Type of appointment
  • Specific penalty
  • Premium
  • Release date (if applicable)
  • Whether the appointment is joint or sole

When emailing, please ensure that the name of the IP is included in either the subject line or body of the email.

If you have any queries regarding submission of bordereau, please feel free to email the [email protected] inbox.