AML Policies, Procedures and Controls (APPC) Template

Taiwan's Financial Supervisory Commission (FSC) "Regulations Governing Anti-Money Laundering/ Countering the Financing of Terrorism (AML/CFT) for Certified Public Accountants", require Certified Public Accountant (CPA) firms to have AML/CFT Internal Policies, Procedures and Controls (IPPC) implemented firm-wide and documented in an AML/CFT IPPC document.

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
1.5 hour training to guide you how to develop and customize the 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 FSC AML/CFT regulations!

Contents of IPPC Template:

1. INTRODUCTION
2. POLICY STATEMENT
3. MANAGEMENT OVERSIGHT
4. RISK ASSESSMENT - (FSC Article 6)
5. CUSTOMER DUE DILIGENCE (“CDD”) - (FSC Article 7 & 8)
6. ENHANCED CUSTOMER DUE DILIGENCE - (FSC Article 10)
7. RECORD KEEPING - (FSC Article 15)
8. ON-GOING MONITORING - (FSC Article 9)
9. REPORTING A SUSPICIOUS TRANSACTION - (FSC Article 13 & 14)
10. AUDIT AND COMPLIANCE - (FSC Article 5)
11. HIRING OF NEW STAFF AND TRAINING - (FSC Article 5)
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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