Real World AML Tool Kits Developed for End-to-End Process Training on: KYC, AML Transaction Monitoring, AML Investigations and AI in FinCrime

"Experience simplified replicas of real-world AML/KYC tools, designed for hands-on learning"

KYC Case/Data Management Tool – Demo Version 1.1 © AFCA

Section 1 - Case Review Details

Customer under Review

Review Type

Review Stage

Customer Number

Case ID

Current Risk Rating

Final Risk Rating

Due Date

Review Date

Case Reviewer

Customer Type

Distribution Channel Risk

⚠️ Channel risk identified

Section 2 - Product Information

Section 3 - Legal Entity Type

Entity Classification Incorporated Business Unincorporated Business Commercial Entity Not for Profit Entity

Legal Entity Type

Section 4 - Customer Details

Full Legal Name of the Customer

Registration Number

Incorporation Date

Business Status

Please RFI to confirm business activity

Trading Name (If any)

Previous Names (If any)

Country of Incorporation

Country of Operations

Website (If any)

Section 5 - Address Details

Registered Address

Address Line 1

Address Line 2

City

State / Province

Postal Code

Country

Trading Address

Address Line 1

Address Line 2

City

State / Province

Postal Code

Country

Correspondence Address

Address Line 1

Address Line 2

City

State / Province

Postal Code

Country

Section 6 - Industry Information

Nature of Business

Business Description

Primary Standard Industrial Classification (SIC)

Secondary Standard Industrial Classification (SIC)

Additional Standard Industrial Classification (SIC)

Section 7 - Business Ownership & Connected Parties

Ownership Structure Chart

Upload ownership structure chart (Image/PDF)

PEP Risk Identified, Please perform EDD

Transactional Report

Customer Name: Chemicals and Feeds Limited

Business Current Account Number: 41786459

Cash Intensive Business?: No

Turnover Analysis

Expected Annual Turnover	Actual Annual Turnover	Variance / Alert
£900,000	£1,400,000	Turnover breach identified (Exceeded Expected)

Cash Credit Analysis

Expected Cash Credit	Actual Cash Credit	Variance / Alert
£100,000	£20,000	No breach identified

Cash & Cheque Activity

Cash Withdrawals > £10,000 (Last 12 Months)	Cheque Deposits	Cheque Withdrawals
1	None	None

International Activity

Country	Transaction Amount (£)	Risk / Alerts
China	28,000	High Risk Country – Perform EDD
India	47,000	High Risk Country – Perform EDD
USA	100,000	Standard Risk
Ireland	200,000	Standard Risk

Section 8 - Transactional Analysis

Is this business cash intensive?

1. Expected vs Actual Turnover

Turnover breach identified! RFI may be required.

2. Expected vs Actual Cash Credit

Cash breach identified! RFI may be required.

3. Cash Debit Activity

4. Cheque Activity

5. International Activity Geographies of Transactions (multi-select):

Section 9 - Documents Upload

1. Certificate of Incorporation

2. Memorandum of Association

3. Articles of Association

4. Ownership Declaration

5. Transaction Report

6. SOW Certificate

7. Identification & Verification Documents

8. Nature of Business

9. Registered Address

10. Trading Address

11. Name Change Proof

12. Trading Name Proof

13. Charity Commission Report

14. Annual Accounts

15. Entity Charter

16. Trust Deed

17. Partnership Deed

18. Other Docs / Approvals

Screening Tool

Factiva RDC World-Check LexisNexis

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Login ID Password

RISK ASSESSMENT

1. Legal Entity Risk:

2. Delivery Channel Risk:

3. Geography Risk:

4. Industry Risk:

5. Product Risk:

6. PEP Risk:

7. Sanctions Risk:

8. Adverse Media Risk:

9. Cash Risk:

10. International Transactions Risk:

Overall Risk: Low

REQUEST FOR INFORMATION

KYC/EDD Case Completion Checklist

Customer Details

Customer’s full legal name verified?

Trading name confirmed?

Legal entity type recorded correctly?

Entity classification validated?

Business status updated?

Business Information

Nature of business verified?

SIC code accurate?

Countries of operations documented?

Registered address verified?

Trading address verified?

Correspondent address recorded?

Risk Assessment

Distribution channel risk reviewed?

Any high-risk products/services?

Business ownership structure identified?

Connected parties captured?

Risk assessment completed?

Final risk rating:

Due Diligence Checks

Identification & Verification completed?

Documents uploaded and valid?

Screening performed?

PEP identified?

Sanctions hits?

Adverse media hits?

Transactions & Activity

Business turnover reviewed?

Cash deposits reviewed?

International transactions reviewed?

Transaction report generated properly?

Escalations / Follow-up

Request for Information (RFI) raised?

Approvals required?

Case Closure

Case closure justification: Date of review: Next review date: Case reviewer name: Mark case as complete

Real World AML Tool Kits Developed for End-to-End Process Training on: KYC, AML Transaction Monitoring, AML Investigations and AI in FinCrime

🔍 Search Case

Registered Address

Trading Address

Correspondence Address

Section 6 - Industry Information

Login

Escalation Email

RISK ASSESSMENT

Overall Risk: Low

REQUEST FOR INFORMATION

KYC/EDD Case Completion Checklist

Customer Details

Business Information

Risk Assessment

Due Diligence Checks

Transactions & Activity

Escalations / Follow-up

Case Closure