Pre-Audits

AML/CFT Pre-Audits can be helpful for Reporting Entities who want to check their compliance prior to the audit. We recommend this is done six months to a year prior to the Audit, which gives the reporting entity time to put any changes into action.

A Pre-Audit can also be helpful for new reporting entities after a year in operation, as it provides assurance that they are meeting their AML requirements and identifies any gaps.

Pre-Audits are developed in partnership with our customers and often only a portion of the Programme may be reviewed, for example Customer Due Diligence, Monitoring or Controls