Page 6 - AML 30001 - The Standard dedicated to Anti-Money Laundering and Counter-Terrorism Financing (AML/CTF)
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EVALUATION

          AND CERTIFICATION FRAMEWORK





          Specifications

          Specifications define the requirements in terms of : 1- evaluation of
          technical compliance to verify the conformity of adopted measures
          with the requirements defined in the specifications, and 2- evalua-
          tion of effectiveness to verify the correct application of the adopted
          measures.



          Methodology

          Interviews with key persons involved in AML/CTF matters; a represen-
          tative and relevant sample of non-nominative files; as well as a com-
          prehensive document review of the evaluated entity's internal AML/C-
          TF measures, including, in particular: policies, procedures, informa-
          tion systems, and customer screening and profiling IT solutions.




          Certification

          Certification is granted following a conclusive evaluation that demons-
          trates, in a reasoned and justified manner, compliance with the given
          standard. The evaluation covers all the requirements outlined in the
          specifications for the regulated entities, organized by each sectorial
          category and AML/CTF theme.
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