What information will I need to gather and have ready for my AML/CTF evaluation?

In order to conduct an evaluation, your evaluator will ask for access to documents, key personnel and systems to conduct the evaluation.

For example, during the independent evaluation, your evaluator may request that you:

• Demonstrate or ask you to provide evidence showing how you have evaluated and undertook or reviewed your ML/TF risk assessment against the requirements in the Anti-Money Laundering and Counter-Terrorism Financing Act 2006 (the Act), the regulations andAnti-Money Laundering and Counter-Terrorism Financing Rules 2025 (the Rules).

• copies of your AML/CTF policies which will be evaluated against the requirements of the Act, regulations and Rules.

• information and examples demonstrating how you appropriately identified, assessed, mitigated and managed your money laundering, terrorism financing and proliferation financing risks (we refer to these as your ML/TF risks) and complied with your AML/CTF policies.

• copies of your ML/TF risk assessment

• access to relevant staff members and senior managers

• access to records, such as customer identification and transactions

• examples of your own monitoring and reviews of your ML/TF risk assessment and AML/CTF policies

• copies of any previous independent evaluation reports

• any other documents relevant to the evaluation.