发布日期:16/09/2021 4分钟阅读

你有多了解你的客户?

Verifying the identity of a prospective client reduces the risk of you and your business being used for the purposes of money laundering or terrorism financing.

在短暂的

  • A recent 参议院委员会 inquiry recently sought to assess the effectiveness of the AML/CTF regime
  • Included in this inquiry was determining whether accountants should now be captured by the regime
  • CA ANZ continues to advocate for obligations that are proportionate to the risk within a practice

在澳大利亚, a 参议院委员会 recently sought to assess the effectiveness of the 反洗钱 and Counter-Terrorism Financing Act 2006 (AML/CTF) and considered how the obligations under the Act could be expanded to accountants in public practice.

注册会计师s ANZ has provided feedback to the senate committee in a written submission. 

AML /钢管在澳大利亚

The Australian Government continues to reform Australia’s anti-money laundering and counter-terrorism financing (AML/CTF) regime. The aim of these reforms is to ensure that Australia meets its commitment to keep pace with the channels used to engage in criminal activity. 目前, reporting entities under the Act need to undertake due diligence to verify the identity of clients, 是否有识别风险的程序, and report risks identified to the relevant authorities.

在所谓的第一部分中, the Australian Government introduced the 反洗钱/Counter-Terrorism Financing Act 2006 (The Act), which captures certain business activities in the financial, 黄金交易, 和赌博行业. The AML/CTF regime imposes regulatory obligations on these reporting entities which include customer and beneficial ownership due diligence, 记录, 和事务报告. 

因为犯罪分子变得越来越老练, the Financial Action Task Force (FATF) adjusts the international AML/CTF standards to ensure they remain effective in identifying and preventing illegal activities. Under its commitment to meet international standards, Australia is considering reforms in what is referred to as Tranche 2. These reforms will seek to strengthen the regime to meet the current FATF standards and prevent systemic or large-scale AML/CTF breaches.

参议院委员会

The 参议院委员会 sought comments on how an expansion to other sectors could be captured in Tranche 2. 具体地说, 监管的影响, 成本, and benefits if the regime were to designate non-financial businesses and professions (DNFBPs or ‘gatekeeper professions’) as reporting entities. This would include accountants and/or certain activities undertaken by accountants, as well as other professions such as lawyers and real estate agents.

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新西兰政府

Phase 2 came into effect in New Zealand in 2018. 在谘询期内, CA ANZ engaged with the relevant regulators to help ensure the obligations impressed upon our members were proportional to the risks of a potential client having criminal intentions. The scope of the regime has extended to members in public practice that undertake certain activities. 这些成员必须完成一项风险评估, 实施反洗钱/反恐融资计划, and designate an employee to administer and manage the programme.

这对你来说意味着什么?

AML/CTF regimes around the world seek to identify and take action against persons that misuse the financial system to launder money or finance terrorism. We acknowledge our members’ role in preventing abuse of the financial system and support, 原则上, the inclusion of DNFBPs in the Australian regime.

The expansion to non-financial businesses has been under consideration since 2017 and we will continue to advocate for obligations that are proportionate to the risk within a practice.

之前提交的AML/CTF扩展

CA ANZ feedback to the model for regulation under Australia’s anti-money laundering and counter-terrorism financing regime

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