Internal Policies, Procedures and Controls (IPPC) Template

ACRA's Anti-Money Laundering/ Countering the Financing of Terrorism (AML/CFT) review on Registered Filing Agents, requires firms to have Internal Policies, Procedures and Controls (IPPC) implemented firm-wide and documented in an IPPC document.

Prior to the review, RFA is to download a Self Assessment Form and complete the form.  There are heavy weightage place on the RFA's implementation of Section B - Risk based approach and risk assessment, Section C - IPPC document, and Section D - Customer Due Diligence (CDD) and beneficial ownership information.

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:

IPPC document template
Risk assessment template
CDD forms, and
1 hour Webinar to guide you how to develop IPPC. 

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 ACRA AML/CFT review!

Contents of IPPC Template:

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

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

IPPC Template Order Form

Fill in the Order Form below.

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

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