L. Financial Crime

This domain covers the financial controls you have implemented to prevent, identify, and respond to evidence of financial crime.

01) Does your organisation have a documented set of policies and procedures for managing compliance with all applicable anti-money laundering (AML) laws and regulations, including anti-terrorism financing laws and regulations, within the jurisdictions that you operate?

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.

Financial Crime
AML
Anti-money laundering
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02) Does your organisation have a documented set of policies and procedures for managing compliance with all applicable anti-bribery and corruption (AB&C) legislation or regulations in the jurisdictions in which you operate?

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.

Financial Crime
AB&C
Anti-bribery and Corruption
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03) Does your organisation have a policy to manage conflicts of interest relevant to anti-bribery and corruption?

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.

Financial Crime
AB&C
Anti-bribery and Corruption
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04) Does your organisation provide employees with regular anti-bribery and corruption compliance training, including at onboarding?

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.

Financial Crime
AB&C
Anti-bribery and Corruption
Training
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05) Does your organisation conduct assurance against its third party suppliers, agents, and sub-contractors to ensure that they have a required level of anti-bribery policies and procedures in place?

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.

Financial Crime
AB&C
Anti-bribery and Corruption
Supplier Assurance
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06) Does your organisation have a documented set of policies and procedures to ensure compliance with financial and trade sanctions?

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.

Financial Crime
Sanctions
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07) Does your organisation have a compliance officer or equivalent role dedicated to economic and trade sanction compliance?

Answer yes if your organisation has a compliance officer dedicated to maintaining your organisation's compliance with all applicable economic and trade sanctions. Please check our knowledgebase to review this control's applicability to your organisation.

Financial Crime
Compliance Officer
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08) Does your organisation conduct ongoing due diligence to ensure your company is not dealing with a sanctioned company or individual?

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.

Financial Crime
Sanctions
Due Diligence
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09) Does your organisation have pre-transaction screening processes that makes use of all applicable economic and trade sanctions lists?

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.

Financial Crime
Pre-transaction Screening
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10) Does your organisation provide employees with regular sanctions training, including at onboarding?

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.

Financial Crime
Sanctions Training
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11) Does your organisation have an established, consistent, and documented framework in place covering the detection, prevention, response to and investigation of suspicious or fraudulent activity?

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.

Financial Crime
Fraud Framework
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12) Does your organisation have a documented fraud response plan?

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.

Financial Crime
Fraud Response Plan
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13) Does your organisation have a member of senior management who is responsible for fraud prevention?

Answer yes if your organisation has a member of the senior management team who has been appointed as responsible for fraud prevention. Please check our knowledgebase to review this control's applicability to your organisation.

Financial Crime
Fraud Officer
Compliance Officer
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14) Does your organisation provide employees with regular fraud prevention training and/or awareness sessions, including at onboarding?

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.

Financial Crime
Fraud Training
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