Integrate distribution and risk monitoring

Insurance covered-product AML policy, §3.2

Obtain relevant customer information through agents and brokers, monitor defined risk indicators and investigate unusual activity. Record control gaps, escalation and accountable follow-up.

Continuous

During covered-product distribution and servicing

Obtain relevant customer information through agents and brokers, monitor defined risk indicators and investigate unusual activity. Record control gaps, escalation and accountable follow-up.

• Distributor control record and investigation log

  Controlled record with date, owner, source and review history

AML operations lead

Leela can track evidence, dates and exceptions once the scope and connected data are configured; a person resolves regulatory judgments.

Tell Leela about your company to see whether this applies.