Transcription of The DFSA Rulebook
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The DFSA Rulebook
The dfsa Rulebook Anti-Money laundering , counter -Terrorist Financing and Sanctions Module (AML). AML/VER13/02-17. Anti-Money laundering , counter -Terrorist Financing and Sanctions Module (AML). Contents The contents of this module are divided into the following chapters, sections and appendices: 1 INTRODUCTION ..3. Application ..3. Responsibility for compliance with this module .. 3. Application table .. 4. 2 OVERVIEW AND PURPOSE OF THE MODULE ..5. 3 INTERPRETATION AND TERMINOLOGY ..9. Interpretation ..9. Glossary for AML .. 9. 4 APPLYING A RISK-BASED APPROACH ..15. The risk-based approach .. 16. 5 BUSINESS RISK ASSESSMENT ..17. Assessing business AML risks .. 17. AML systems and 18. 6 CUSTOMER RISK Assessing customer AML risks .. 21. 7 CUSTOMER DUE DILIGENCE ..26. Requirement to undertake customer due diligence .. 27. Timing of customer due diligence .. 27. Customer due diligence requirements .. 28. Enhanced customer due diligence .. 32. Simplified customer due diligence.
Anti-Money Laundering, Counter-Terrorist Financing and Sanctions Module (AML) AML/VER13/02-17 Contents The contents of this moduleare divided into the following chapters, sections and appendices:
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