AML 12.4.1

Past version: effective from 03/02/2020 - 02/02/2020
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The MLRO must report semi-annually to the Governing Body or Senior Management of the Relevant Person on the following matters:

(a) the results of the review under Rule 4.1.1(4);
(b) the Relevant Person's compliance with applicable Anti-Money Laundering laws including these Rules;
(c) any relevant findings, recommendations, guidance, directives, resolutions, Sanctions, notices or other conclusions and how the Relevant Person has taken them into account; 
(d) any internal Suspicious Activity Reports made by the Relevant Person's Employees and action taken in respect of those reports, including the grounds for all decisions;
(e) any external Suspicious Activity Reports made by the Relevant Person and action taken in respect of those reports including the grounds for all decisions; and
(f) any other relevant matters related to Anti-Money Laundering as it concerns the Relevant Person's business.
Amended on (3 February, 2020).