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    AML/CFT Quick Guides for DNFBPs

    Registration Authority ADGM AML / CFT Quick Guides for DNFBPs
    Guides on AML / CFT requirements designed for DNFBPs

    ADGM’s AML/CFT Quick Guides “guides” are designed specifically for Designated Non-Financial Businesses and Professions (“DNFBPs”). The guides are thoughtfully crafted with a clear objective of assisting DNFBPs by providing an easy to read overview of key AML/CFT requirements.

    These introductory guides are designed to provide you with an overview of key concepts and requirements for complying with certain AML/CFT obligations covering the following topics:

    1. Know Your Customer (KYC)
    2. Customer Due Diligence (CDD)
    3. Customer Risk Assessment (CRA)
    4. AML/CFT Governance Frameworks
    5. Targeted Financial Sanctions (TFS)
    6. Suspicious Transaction and Activity Reports

    Scroll down to see an overview of each guide and to download a copy.

    KYC is the process of collecting identification information and verifying its validity and legitimacy in order to establish and/or maintain a business relationship. Read more on KYC requirements and examples by downloading the KYC guide.

    Download (EN)
    Download (AR)

    CDD is the process of evaluating the relevant KYC documentation collected or maintain for your customer. Read more on the different types of CDD and its requirements by downloading the CDD guide.

    Download (EN)
    Download (AR)

    CRA is the risk-based assessment undertaken by you to assess and evaluate the ML/FT risks posed by your clients. Read more on CDD by downloading the CRA guide.

    Download (EN)
    Download (AR)

    An important pillar of developing a robust AML/CFT program in place, is to implement an adequate AML/CFT Governance Framework. Read more on the minimum requirements for building an effective AML/CFT Framework by downloading this guide.

    Download (EN)
    Download (AR)

    TFS is the process of implementing asset freezing without delay and prohibition from making funds or other assets or services, directly or indirectly, available for the benefit of sanctioned individuals, entities, or group, in line with the relevant regulatory requirements. Read more on the TFS requirements by downloading the TFS guide.

    Download (EN)
    Download (AR)

    Suspicious transaction is any transaction relating to funds where you have reasonable grounds to suspect that the funds, in whole or in part, are the proceeds of crime or are related to the financing of terrorism or illegal organisations, or are intended to be used in such activity, regardless of the amount and whether such transactions have been completed or attempted.

    Download (EN)
    Download (AR)
    Disclaimer
    These quick guides are produced for general information purposes only. They are not comprehensive and do not constitute formal guidance. These quick guides should be read together with the Financial Services and Markets Regulations 2015, the Anti-Money Laundering and Sanctions Rules and Guidance and applicable federal legislation. You should seek appropriate professional advice if necessary to ensure your full understanding of your obligations under relevant regulations, rules and legislation. Regulations, rules and legislation may change on short notice, and you should ensure your understanding of the same remains up to date. These quick guides may not reflect the most recent requirements set out in relevant regulations, rules and legislation.

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