Section 6 (1) of the SA 2012 lists as one of the Commission’s functions, to ensure compliance with the Proceeds of Crime Act, any other written law, in relation to the prevention of Money Laundering and combatting the financing of terrorism or any other written law that is administered or supervised by the Commission.
In its role as Supervisory Authority for Money Laundering and Terrorist Financing in the securities sector, the Commission employs the following measures:
- Providing guidance through the publication of guidelines and other informational releases, and ` the hosting of outreaches;
- Granting approval of Compliance Officers; and
- Conducting off-site and on-site compliance reviews of our registrants.
Checklist Application for the Approval of Compliance Officers
Fit and Proper Criteria
For approval of Compliance Officers Pursuant to Regulation 4(2) of the Financial Obligations Regulations, 2010
Frequently Asked Questions
Answers to the most common questions asked about AML-CTF.
Fill out the form for the Application of Compliance Officers
View the set of Public Statements.