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.

The practitioner reported that a case had been accidentally omitted from their bordereau return some months previously. They had contacted their bond provider, who had confirmed cover could be implemented with retrospective effect. The practitioner was also going to raise the issue with their case management software provider, given that it had not been picked up on the automated review.

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