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.

Blog: https://sydneygroupblog.wordpress.com/

Linked In: https://tt.linkedin.com/in/antoinette-sydney-77093550

Instagram: https://www.instagram.com/asydneygrouptt/?hl=en

Facebook: https://www.facebook.com/sydneygrouptt/

Youtube: https://www.youtube.com/channel/UC8-sUa8WMDJM8w5_Q3nhQ5w

Disclaimer:
The content herein is only for informational and educational purposes and does not constitute legal advice. Please be advised that no attorney/client relationship is created by the publishing of this content. You should consult with your attorney at law for independent legal advice.

No representations or warranties are made about the suitability, comprehensiveness and or accuracy of the information and other content contained on this channel. It should be noted that legal information and content can become out of date and I give no undertaking to keep this blog up to date. All liability for any loss or damage of any kind which may be suffered as a result of accessing and using the information and or content of this blog is hereby excluded to the full extent permitted by law.

WHICH BUSINESSES MUST REGISTER WITH THE FIU in Trinidad and Tobago?

It is imperative that Non Regulated Financial institutions and Listed Businesses register with the FIU in an effort to contribute to the development of the local economy.

Subscribe to my YouTube Channel:

Non Regulated Financial Institutions include:

  • Credit Union
  • Building Society
  • Money or Value Transfer Services

Listed Businesses include:

  • Motor Vehicle Sales
  • Real Estate
  • Gaming House
  • Pool Betting
  • National Lotteries On-Line Betting Games
  • Jeweler
  • A Private Members’ Club
  •  An Art Dealer
  • An Accountant, an Attorney-at-law or other Independent Legal Professional
  • Trust and Company Service Providers 

**Non Profit Organisations with a gross annual income of over $500,000.

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

Disclaimer:
The content herein is only for informational and educational purposes and does not constitute legal advice. Please be advised that no attorney/client relationship is created by the publishing of this content. You should consult with your attorney at law for independent legal advice.

No representations or warranties are made about the suitability, comprehensiveness and or accuracy of the information and other content contained on this channel. It should be noted that legal information and content can become out of date and I give no undertaking to keep this blog up to date. All liability for any loss or damage of any kind which may be suffered as a result of accessing and using the information and or content of this blog is hereby excluded to the full extent permitted by law.

#FIU #AML #CFT #LAW #RISK #CONSULTANT #ANTOINETTE #SYDNEY #EXPERT #ADVISOR #LAWYER #SPECIALIST #YOUTUBER #BLOGGER #WORDPRESS #ATTORNEY #ANTOINETTESYDNEY