Description

This AML/CTF package has been designed to comply with the amended AML/CTF Act and new 2025 AML/CTF Rules that will come into effect on 31 March 2026 and is for existing Reporting Entities.

The reforms and the new AML/CTF Rules introduce changes to various AML/CTF obligations and requirements contained in the current AML/CTF Act 2006, including the obligation to split an AML/CTF Program into Part A and Part B.

This AML/CTF package includes a complete AML/CTF Policy that is easily customisable to your business. The package includes policies and procedures to assist your business to identify, assess, mitigate and manage the risk of Money Laundering, Terrorism Financing and Proliferation Financing (ML/TF/PF)  in order to meet your AML/CTF obligations.

Included within this AML/CTF package is a detailed Business Risk Assessment and a Customer Risk Assessment. These documents enable your business to identify and assess its overall ML/TF/PF risk.

This AML/CTF Package is suitable for all existing Reporting Entities – meaning entities which already provide designated services as defined by Table 1 and Table 2 of section 6 of the AML/CTF Act. This includes: fund managers, CFD brokers, securities dealers, remittance service providers, digital currency exchange providers, credit providers.

Available to purchase for the following:

• Existing Reporting Entities (Tranche 1);
• Item 54 Reporting Entities (AFSL holders that arrange for customers to receive designated services from another Reporting Entity – e.g.: financial planners); and
• Tranche 2 Entities.

If you are a remittance provider, please purchase the Tranche 1 package. 

Included in the package is:

• AML/CTF Policy
• Business Risk Assessment
• Customer Due Diligence Procedures
• Initial Customer Due Diligence Matrix
• Red Flags Indicators Sheet
• Customer Risk Assessment Matrix
• Dictionary
• Calendar of Obligations

With this package, you will also receive a number of checklists and registers that will assist in meeting your record-keeping obligations:

• AML/CTF Compliance Officer Checklist (if applicable);
• AML/CTF Compliance Officer Report to Governing Body (if applicable);
• Customer Due Diligence Checklist;
• Customer Due Diligence Third Party Reliance Arrangement Checklist;
• Outsourcing Due Diligence Checklist;
• Implementation Checklist (if applicable);
• Personnel Risk Assessment Matrix;
• Register of High-Risk Clients;
• Register of Senior Managers;
• Reporting Group and Lead Entity Checklist; 
• Template Response to an Independent Evaluation; and
• Senior Manager Approval Record (Initial Adoption).

If you have any questions in relation to the AML/CTF Reforms, please visit our dedicated FAQs page.

All Sophie Grace Template Documents are available for instant download.

If you require a tax invoice or have any problems with your purchase, please contact us.