This domain covers the financial controls you have implemented to prevent, identify, and respond to evidence of financial risk.
Answer yes if your organisation is a legally registered entity and upload proof of registration (as a PDF file, this is typically a certificate of incorporation) as evidence. Please note the country or jurisdiction in which your company is registered in the notes.
Answer yes if your organisation has enough working capital to remain for the next 12 months.
Answer yes if your organisation has 3 years (or more) worth of published annual accounts. Please upload the last 3 years of accounts as evidence. If your organisation has less than 3 years, please upload any accounts that have been published (as PDF files).
Answer yes if your organisation has an established and documented framework for maintaining anti-money laundering compliance with all applicable laws and regulations. Please upload (as a PDF file) a document outlining the framework as evidence. Please check our knowledgebase to review this control's applicability to your organisation.
Answer yes if your organisation has a documented set of policies and procedures for managing compliance with all anti-bribery and corruption (AB&C) legislation or regulation in the jurisdictions you operate. The policies and procedures should, as a minimum, cover your organisations top level commitment to preventing bribery, your organisations policy and related procedure for receiving or giving gifts, entertainment, and hospitality, your organisations policy on charitable donations and sponsorships, and your organisations policy on third party relationships. Please upload the relevant files (as PDF files) as evidence. Please check our knowledgebase to review this control's applicability to your organisation.
Answer yes if your organisation has a policy to manage conflicts of interest. The policy should provide a framework and instructions that outline when and how an employee should report any conflicts of interest. Please upload the policy (as a PDF file) as evidence. Please check our knowledgebase to review this control's applicability to your organisation.
Answer yes if your organisation provides AB&C compliance training at regular intervals. Please describe the nature and frequency of the training within the notes. Please check our knowledgebase to review this control's applicability to your organisation.
Answer yes if your organisation conducts supplier assurance to ensure your suppliers have the correct anti-bribery policies and procedures in place. Please check our knowledgebase to review this control's applicability to your organisation.
Answer yes if your organisation has an established and documented set of policies and procedures for monitoring and maintaining compliance with financial and trade sanctions. Please upload your policy and process documents (as PDF files) as evidence. Please check our knowledgebase to review this control's applicability to your organisation.
Answer yes if your organisation has a compliance officer dedicated to maintaining your organisation's compliance with all applicable financial crime regulations, including economic and trade sanctions.
Answer yes if your organisation conducts ongoing checks to ensure compliance with all applicable economic and trade sanctions. Please check our knowledgebase to review this control's applicability to your organisation.
Answer yes if your organisation conducts pre-transaction screening that makes use of all applicable economic and trade sanctions lists. Please list the relevant lists used in the notes. Please check our knowledgebase to review this control's applicability to your organisation.
Answer yes if your organisation provides employees with regular sanctions training. Please describe the nature and frequency of the training within the notes. Please check our knowledgebase to review this control's applicability to your organisation.
Answer yes if your organisation has an established and documented framework for detecting, preventing, responding to, and investigating suspicious or fraudulent activity. Please upload (as a PDF file) a document outlining the framework as evidence. Please check our knowledgebase to review this control's applicability to your organisation.
Answer yes if your organisation has a documented fraud response plan. The plan should cover your organisation's internal processes and reporting lines for the reporting and investigation of any instances of fraud Please upload the plan (as a PDF file) as evidence. Please check our knowledgebase to review this control's applicability to your organisation.
Answer yes if your organisation has a member of senior management who is responsible for financial crime or a process for ensuring financial crime risk & treatment action is considered by the senior management team.
Answer yes if your organisation provides employees with regular fraud prevention training or awareness programmes. Please describe the nature and frequency of the training within the notes. Please check our knowledgebase to review this control's applicability to your organisation.
Answer yes if your organisation holds a valid public liability insurance policy. Please provide the certificate of insurance (as a PDF file) as evidence.
Please state the limit of the cover in GBP (if in another currency, please convert to GBP).
Answer yes if your organisation holds a valid professional indemnity insurance policy. Please provide the certificate of insurance (as a PDF file) as evidence.
Please state the limit of the cover in GBP (if in another currency, please convert to GBP).
Answer yes if your organisation holds a valid employers' liability insurance policy. Please provide the certificate of insurance (as a PDF file) as evidence.
Please state the limit of the cover in GBP (if in another currency, please convert to GBP).
Answer yes if your organisation holds a valid cyber insurance policy. Please provide the certificate of insurance (as a PDF file) as evidence.
Please state the limit of the cover in GBP (if in another currency, please convert to GBP).