Form Number (4)

Effective from 30/4/2020

Internal Audit Report
Controls	Finding	Potential effect	Recommendation	Priority	Management response	Target date	Effectiveness From (1-5)
AML/CFT systems
Policies and procedures
Risk-Based Approach ("RBA")
Customer Due Diligence – CDD
Suspicious Transaction reports
Record Keeping
Training
AML Officer, Compliance Officer
Ongoing monitoring
Enhanced Due Diligence ("EDD")
ETC….