Registers to be maintained by a regulated entity for the purposes of the Regulator : AML Compliance Consultant

Record keeping is a major part of Anti-Money Laundering. As such , the following registers must be kept for the regulators as well as the auditors:

Register of Correspondence received from the regulator;

Register of Internal Suspicious Activity Reports (SARS) received from staff;

Register of Suspicious Activity Reports (SARS) and Suspicious Transaction Reports (STRs) submitted to the regulator;

Register of Law Enforcement Request for Information.

About the Author: Antoinette Sydney LLB LEC CAMLFC CFRMP is an author and entrepreneur based in Trinidad and Tobago.


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