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Firm Policy: Uploading Anti-Money Laundering (AML) Policies, Controls, and Procedures
Firm Policy: Uploading Anti-Money Laundering (AML) Policies, Controls, and Procedures

The Firm Policy tab is designed to facilitate the management and storage of your firm’s Anti-Money Laundering (AML) documentation.

Updated over 4 months ago

Here, you can upload and maintain your AML policies, controls, and procedures to ensure compliance and efficient internal operations.

How to Upload Compliance Documents

  1. Access the Firm Policy Tab: Navigate to the Firm Policy tab within your account.

  2. Upload Documents: Select the purple “Upload firm policy PDF” button and upload any AML policies,procedures and relevant documents here

  3. Save Changes: After selecting the files, click the “Upload” button to complete the process. You will then be able to view your firm policy and remove it at any time.

Benefits of Using the Firm Policy Tab

  • Condensed Storage: Keep all AML-related documents in one secure location for easy access and management.

  • Compliance Tracking: Ensure that your firm’s AML policies are up-to-date and compliant with regulatory requirements.

  • Audit Ready: Maintain organized records that can be quickly retrieved for audits or regulatory reviews.

Regularly review and update your AML documents to reflect any changes in regulations or internal procedures. Proper documentation supports effective risk management and regulatory compliance.

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