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Anti Money Laundering Quarterly Review Checklist

Name

Anti Money Laundering Quarterly Review Checklist

Description

Anti Money Laundering Quarterly Review Checklist 

Obtain an Oracle report of all cash receipts from customers for the past three months. Judgmentally select a sample (30) of customers representative of the activity for the three months and review for the following:

Review reconciliation of cash receipt against lock box receipts (as per bank statement). Identify payments not received through lockbox and investigate the nature of these receipts.

Review reconciliation of cash receipt against lock box receipts (as per bank statement). Identify payments not received through lockbox and investigate the nature of these receipts.

Identify payment prohibited in the US and review for adequate documentation
- Name of who approves and date of approval
- Explanation of due diligence performed
- Invoice number of transaction
- Identifier for payment being made (i.e., check number)
- Whether or not Government reporting is required

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Standard (Non-IT) Audit Program

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English