... entities which) have significant control over the company and obtain accurate and up-to-date information about their identities  To maintain a register of persons with significant control over the company for inspection upon request 11 Local Legislative Development – United Nations (Anti-Terrorism...

... reporting system (5.1 & 7.14) • Proper record of the staff who review exception reports (5.10) Chapter 5 – Ongoing monitoring 17 DON’Ts Chapter 5 – Ongoing monitoring DON’Ts • Inadequate control on change of policy ownership, e.g. not ascertain the reason, no ongoing monitoring in place to identify unusual...

... entities which) have significant control over the company and obtain accurate and up-to-date information about their identities  To maintain a register of persons with significant control over the company for inspection upon request 11 Local Legislative Development – United Nations (Anti-Terrorism...

... reporting system (5.1 & 7.14) • Proper record of the staff who review exception reports (5.10) Chapter 5 – Ongoing monitoring 17 DON’Ts Chapter 5 – Ongoing monitoring DON’Ts • Inadequate control on change of policy ownership, e.g. not ascertain the reason, no ongoing monitoring in place to identify unusual...