AML Policies, Procedures and Controls (APPC) Template for Law Firms

If you are a law firm, solicitor or foreign lawyer practising in Hong Kong, there are heavy weightage place on the implementation of Risk-based approach and risk assessment, APPC document, and Customer Due Diligence (CDD) and beneficial ownership information.  Such was the importance of APPC, that we understand from practitioners was that law firms and solicitors are required to have ready the APPC document (also known as the “AML/CTF Systems” or “Manual”) to comply with AML/CTF regulation and the professional conduct.

For busy professionals like yourself, or you are not sure how to develop an IPPC document, you can now purchase a customizable IPPC document which includes:

APPC document template
Risk assessment template
CDD forms, and
1.5 hour training to guide you how to develop APPC.

These templates are delivered in Microsoft Word/ Excel format, and are almost 90% complete for your firm to use.  With these templates and training, you can adjust and customize to your firm's requirements, and be ready for AML/CFT review!

Contents of APPC Template:

1. INTRODUCTION
2. POLICY STATEMENT
3. MANAGEMENT OVERSIGHT
4. RISK ASSESSMENT
5. CUSTOMER DUE DILIGENCE (“CDD”) - (*MR#2, #4)
6. ENHANCED CUSTOMER DUE DILIGENCE - (*MR#3)
7. RECORD KEEPING - (*MR#6)
8. ON-GOING MONITORING - (*MR#5)
9. REPORTING A SUSPICIOUS TRANSACTION
10. AUDIT AND COMPLIANCE
11. HIRING OF NEW STAFF AND TRAINING - (*MR#7)
APPENDIX AAML/CFT ROLES & RESPONSIBILITIES
APPENDIX B RISK ASSESSMENT
APPENDIX C INDICATORS OF SUSPICIOUS TRANSACTIONS

*MR = Mandatory Requirements in the LawSoc's Practice Directions

Customer Due Diligence Forms:

Form 1 Customer Information
Form 2 Client's Particulars (Individual or Entity)
Form 3 Politically Exposed Person Information
Form 4 Risk Assessment

ORDER FORM

AML Policies, Procedures & Controls Template Order Form

Fill in the Order Form below.

We will then send you an invoice for your payment.  Once payment is received, the APPC document template will be sent to you, and a webinar session will be arranged.

Ensure that the details are correct for invoicing purpose.

Name:*
E-mail:*
Phone Number:
Company Name
Address