Transcription of The DFSA Rulebook
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The DFSA Rulebook
Appendix 1. In this appendix as all the text is new it is not underlined or struck through in the usual manner. In this appendix underlining indicates new text and striking through indicates deleted text. The dfsa Rulebook Anti-Money Laundering, Counter-Terrorist Financing and Sanctions module (AML). 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 ..1. Application .. 1. Responsibility for compliance with this module .. 1. Application table .. 3. 2 OVERVIEW AND PURPOSE OF THE module ..4. 3 INTERPRETATION AND TERMINOLOGY ..7. Interpretation .. 7. Glossary for AML .. 7. 4 APPLYING A RISK-BASED APPROACH ..14. The risk-based approach .. 14. 5 BUSINESS RISK ASSESSMENT ..16. Assessing business AML risks .. 16. AML systems and controls .. 17. 6 CUSTOMER RISK ASSESSMENT ..19. Assessing customer AML risks .. 20. 7 CUSTOMER DUE DILIGENCE.
Anti-Money Laundering, Counter-Terrorist Financing and Sanctions Module (AML) 1 1 INTRODUCTION 1.1 Application 1.1.1 (1) This module (AML) applies to: (a) every Relevant Person in respect of all its activities carried on in or
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