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We are required to undertake ongoing monitoring of business relationships. This means scrutiny of transactions, including where necessary, the source of funds to ensure that it aligns with the documentation
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Policy
What is ongoing monitoring?
Overview
The SRA are increasingly guiding firms that it is not enough for the AML Policy to have a specific section on ongoing monitoring, it must provide any detail in respect of how the firm satisfies regulation 28(11)(b).
Last updated:
20 Feb 2025
Words:
242
Last viewed:
21 Mar 2025
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4
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