AUSTRAC Regulatory Guide

Introduction | pdf, 770kb

Foreword by the CEO
Regulatory Guide roadmap
Reader's aid
Getting started with AUSTRAC
Glossary

1. Introduction to the Australian AML/CTF context | pdf, 605kb

Introduction
What is money laundering?
What is terrorism financing?
Why are money laundering and terrorism financing of concern?
What is the international position on money laundering and terrorism financing?
What is the Australian position on money laundering and terrorism financing?
What are the Australian Government's legal and administrative roles?
Frequently asked questions

2. Introduction to AML/CTF programs | pdf, 388kb

Introduction
When do the provisions commence?
What are the relevant FATF recommendations?
What is an AML/CTF program?
Are there requirements set by the AML/CTF Rules?
Frequently asked questions

3. AML/CTF programs - Part A (general) | pdf, 699kb

Introduction
When do the provisions commence?
What is the relevant FATF recommendation?
What is Part A of an AML/CTF program?
What are the requirements for Part A of an AML/CTF program?
What are the risk indicators of an inadequate AML/CTF program - Part A?
What resources are available to assist reporting entities?
Additional AUSTRAC resources
Frequently asked questions

4. AML/CTF programs - Part B (customer identification) | pdf, 782kb

Introduction
When do the provisions commence?
What are the relevant FATF recommendations?
What is Part B of an AML/CTF program?
What are the requirements for Part B of an AML/CTF program?
What are the risk indicators of an inadequate AML/CTF program - Part B?
What resources are available to assist reporting entities?
Additional AUSTRAC resources
Frequently asked questions

5. AML/CTF compliance reporting | pdf, 420kb

Introduction
When do the provisions commence?
What are the relevant FATF recommendations?
What is an AML/CTF compliance report?
How can AML/CTF compliance reports be submitted?

6. Correspondent banking | pdf, 524kb

Introduction
When do the provisions commence?
What are the relevant FATF recommendations?
What are the requirements for correspondent banking?
What are the risk indicators for correspondent banking?
What resources are available to assist reporting entities?
Additional AUSTRAC resources
Frequently asked questions

7. Financial Transaction Reports Act 1988 | pdf, 578kb

Introduction
What are the requirements for reporting under the FTR Act?
What are the requirements for customer identification under the FTR Act?
What are the requirements for record keeping under the FTR Act?
Additional AUSTRAC resources

8. Ongoing customer due diligence | pdf, 502kb

Introduction
When do the provisions commence?
What are the relevant FATF recommendations?
What is ongoing customer due diligence?
Additional AUSTRAC resources
Frequently asked questions

Appendices

A. AUSTRAC guidance notes and Public Legal Interpretations
B. ML/TF Risk Principles Framework
C. International AML/CTF organisations and initiatives
D. Historical developments in Australia's AML/CTF environment
E. Policy (Civil Penalty Orders) Principles 2006
F. AUSTRAC policy summaries
G. The Australian Government's legal and administrative roles
H. FATF recommendations
I. AUSTRAC Self Assessment Questionnaire
J. Sample customer identification procedure form - individuals
K. AUSTRAC guidelines
L. AUSTRAC information circulars

Quicklinks

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