Compliance Controls Library

Reference dossiers on AML, KYC, sanctions, fraud, and risk controls. What regulators expect, what good looks like, and the audit findings to avoid.

Showing 21–26 of 26 controls

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Peer group comparison is an AML transaction monitoring control that measures each customer's financial activity against a cohort of ...

PEP Screening is the process of checking customers and their beneficial owners against databases of politically exposed persons to assess ...

Record keeping is the compliance obligation requiring financial institutions to retain, index, and produce documentary evidence of customer ...

Simplified Due Diligence (SDD) is a risk-proportionate tier of customer due diligence that lets regulated financial institutions apply ...

Suspicious Activity Report (SAR) filing is the control by which financial institutions formally report transactions or customer behaviors ...

Velocity checks are a fraud and AML control that measures the rate, frequency, or cumulative value of a customer's transactions over a ...