At a glance
Internal rules should connect to employees' roles, working forms and actual procedures.
In this article 1 min read
Identify the organisation's category
Applicable requirements depend on activities and supervision. Before drafting documents, determine the organisation's category, the transactions it conducts and how its work with clients is organised.
Describe the actual process
Who obtains client information, who checks completeness, where is the risk assessment recorded and how are questions passed to the responsible officer? The answers help connect the rules to actual actions and systems used.
Check forms and records
Compare the rules with questionnaires, logs, internal reports and other documents required by the process. Names and roles should match, and records should allow the sequence of actions to be reconstructed.
Prepare an implementation plan
For each finding, it is useful to define an action, responsible person and deadline. Consultancy support does not replace appointing the organisation's personnel or their actual performance of procedures. The scope of external support is recorded separately.
Official sources
Sources checked on 24 October 2026. Practical recommendations on preparing materials are provided by the AML Expert editorial team. The procedure for a specific case depends on the documents and the applicable basis.