Ficheiro de 1,88 Mb em formato pdf (271 p.). Também disponível em: https://siteresources.worldbank.org/EXTFINANCIALSECTOR/Resources/Preventing_Money_Laundering_Terrorist_Financing.pdfAcedido em: 18 de Fevereiro de 2010.

Foreword. Acknowledgments. About the authors. Acronyms and abbreviations. Introduction. Chapter 1 - Designing an Effective AML/CFT Supervisory Framework. 1 Overview. 2 The importance of AML/CFT to policy makers and supervisors. 3 Demonstrated political will Is the key to success. 4 Importance of collaboration and cooperation. 5 Organizational approaches for effective AML/CFT supervision. 6 Principles for an effective AML/CFT supervisory framework. Notes. Chapter 2 - Risk management in combating money laundering and terrorist financing. 1 Overview. 2 Introduction to money laundering/terrorist financing risk management. 3 Overview of the risks associated with money laundering, terrorist financing, and related compliance issues. 4 The ML/FT risk assessment process from the bank perspective. 5 Expected outcomes of the ML/FT risk assessment. Notes. Chapter 3 - The licensing process and AML/CFT due diligence. 1 Overview. 2 Summary of the licensing requirements for banks. 3 Considerations for an effective licensing process. Notes. Chapter 4 - AML/CFT Off-Site supervision. 1 Overview. 2 Main features of the off-site supervision system. 3 Key tasks to be performed by off-site examiners. 4 Other responsibilities of ongoing supervision. Notes. Chapter 5 - The on-site supervisory process. 1 Overview. 2 Examination issues and approaches. 3 Planning and preparing for the AML/CFT on-site examination. 4 Overview of the key areas to be assessed. 5 Preparing the examination report. Notes. Chapter 6 - Sanctions and corrective measures to be taken by competent authorities. 1 Overview. 2 General. 3 Summary of possible rulings and remedial measures. 4 Examples of enforcement and sanctions applied in several countries. 5 General overview of the basic requirements for effective sanction proceedings. Notes. Chapter 7 - National and international cooperation. 1 Overview. 2 The importance of cooperation. 3 National cooperation. 4 International cooperation. Notes. Annex 1 - Designing an effective AML/CFT framework that supports initiatives to broaden and deepen financial access by the poor. Annex 2 - Managing ML/FT risks of low-risk products: the example of branchless banking. Annex 3 - Risk management principles for low-risk products: some guidelines. Annex 4 - Preparing and conducting an on-site examination for AML/CFT. Annex 5 - Key documents to obtain at the outset of the inspection. Annex 6 - List of areas that pose higher risks. Annex 7 - Example of an AML/CFT questionnaire used by the French Banking Commission. Annex 8 - Example of sanctions applied by the French Banking Commission. Annex 9 - FATF 40+9 recommendations.