• Save time and money writing up the outputs of the AML/CFT Health Check

    The AML/CFT Health Check publishes all outputs to a report, which simultaneously creates both a static PDF and an interactive ‘drillable’ report, which is stored on the Audit History page and can be retrieved at any point in future.

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Generate AML/CFT Health Check Report

The AML/CFT Health Check publishes the outputs of the audit process to a report, which simultaneously creates both static (PDF) and interactive (drillable) snapshot versions of the report, which is permanently stored on the Audit History page and is accessible at any point in future.

The information that is to be rendered into the PDF report can be selected by users and includes the following sections:

  • General information
    • Cover page
    • Context
    • Scope, approach, limitations and key assumptions
  • Executive summary
    • Overall findings
    • Alignment with the independent review objectives
    • General comments/observations
    • Key recommendations
  • Key findings
    • Finding title/description
    • Overall rating
    • Assessment of the design and operational performance
    • General comments/observations
    • Key recommendations

Call to action

  • Key actions
  • Key issues
  • Key risks

Compliance rating

  • Overall summary
  • Compliance status by group
  • Compliance status by category
  • Compliance status detail
  • Other

  • Glossary
  • Finalising the AML/CFT Health Check Report

    Report Display Configuration

    Prior to finalising the AML/CFT Health Check users can select the sections to display on the summary and detailed sections of the report, as well as, the level of information that is displayed, for example:

    • Display the control test information in either an expanded or collapsed view
    • Select by compliance rating(s).

    Each organisation has a pre-defined setting for the report display configuration settings and each user also has a default setting, which can be adjusted by the user at the point of rendering the PDF report.

    General Information

    Cover page

    The cover page provides a summary of the AML/CFT Health Check including; the company name, the date the health check was finalised, the name of the health check, the country that the assessment was performed against (if relevant), the type of review, the industry sector, the review period, the next review date and who has completed the AML/CFT Health Check.


    The context page provides an overview of the organisation’s profile including:- general comments; business objectives and how success is measured against each objective; the nature, size and complexity of the business; key lines of business assessed, the next review date and any supporting document attachments.

    Scope, Approach, Limitations and Key Assumptions


    The purpose of the scope section is to outline the precise nature of the AML/CFT Health Check in terms of the scope of the independent review, for example, whether this was performed for an entire organisation, or for a particular region or country, or for an operating group, business division, function or product line, which provides valuable insights into the breadth and depth of the review.


    The purpose of the approach section is to outline the methodology behind how the AML/CFT Health Check was conducted, for example, were the responses self-assessed and then validated by an independent internal or external audit function, were employees individually interviewed by the audit team when forming the assessment or was this achieved via group workshops or similar.


    The purpose of the limitations section is to outline whether there were any constraints that should be taken into consideration in respect of the AML/CFT Health Check, for example, if the audit teams were unable to interview certain staff, or unable to access certain documents or unable to perform other checks then these should be described in this section.

    Key Assumptions

    The purpose of the key assumptions section is to outline any assumptions that were made during the course of performing the AML/CFT Health Check, which were unable to be verified at the time, for example, if no information was available about the size of the organisations business, such as the number of clients, accounts and transactions or the specific attributes of a product then assumptions may have had to be made.

    Executive Summary

    The executive summary section is meant to stand alone and summarise at a high-level the key findings, observations and recommendations.

    Overall findings

    The purpose of the overall findings section is to highlight the key themes, trends and issues identified during the process of conducting the AML/CFT Health Check.

    For example, this may include a statement or whether the organisation was found to understand the ML/TF risk profile, met the rules / compliance obligations, implemented an effective AML/CFT program and continues to operate this effectively and is meant to serve as an executive summary of the entire review and should be written with this in mind – sharp and to the point!

    Alignment with review objectives

    The purpose of this section is to specifically call out whether the AML/CFT program is in line with the objectives set out in respect of independent reviews. Typically, the purpose of an independent review is four-fold:- firstly, to assess whether a reporting entity understands its ML/TF risk and has implemented proportionate controls to manage the risk; secondly, to assess whether the AML/CFT program complies with the rules/obligations; thirdly, whether the AML/CFT program was implemented effectively and finally, whether the AML/CFT program complies with the standards defined in internal policies and procedures.

    General Comments

    The purpose of the general comments section is to describe any additional information that is relevant to support the overall findings of the AML/CFT Health Check.

    Key Recommendations

    The purpose of the key recommendations section is to describe the remediation activities that have been identified to enable compliance gaps or control weaknesses to be rectified.

    Key Findings

    The purpose of the key findings section is to describe in more detail the key observations from the assessment in terms or the design and operational effectiveness of a particular element of the AML/CFT Program.

    Key Actions, Issues and Risks

    The purpose of the key actions, issues and risks section of the report is to select the most important actions that should be included in the executive summary of the report.

    Compliance rating

    Overall Summary

    This section of the report contains a rolled-up summary of the compliance rating across all regulatory and/or best practice requirements assessed during the AML/CFT Health Check and includes a count and % of items assessed with a particular compliance rating.

    From the Overall Summary, users can drill down to a lower level of detail by clicking on either the % or count, which displays the underlying regulatory items that make up the segment.

    The detailed report view can be filtered to include additional compliance ratings, as well as, refining the criteria to look at specific Groups or Categories within the AML/CFT Health Check.

    Compliance Status by Group

    This section of this report summarises the compliance rating (count and %) of each AML/CFT compliance requirement, grouped by major chapter heading of the AML/CFT regulations.

    Each chart is fully interactive and by clicking on any pie segment (or the table) users can view the AML/CFT regulatory requirements that have been assessed with that particular compliance rating.

    Compliance Status by Category

    This section of this report summarises the compliance rating (count and %) of each AML/CFT compliance requirement, grouped by major chapter sub-heading of the AML/CFT regulations.

    Each chart is fully interactive and by clicking on any pie segment (or the table) users can view the AML/CFT regulatory requirements that have been assessed with that particular compliance rating.

    Compliance Status Detail

    This section of this report provides the detailed assessment information and contains every piece of information that is entered into the main assessment page.  The level of detail that is rendered can be controlled by the Report Display Configuration settings.


    • This field is for validation purposes and should be left unchanged.