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AML Audit & Review of Guidelines for Investment Companies is a tool to conduct an independent audit of financial firms AML Compliance Program.

This audit is a vital tool for investment management companies, RIAs, broker dealers, CTAs, CPOs, money service businesses and industry service providers to conduct a thorough review and risk assessment of internal and counter party AML controls and programs.

The AML audit complies with generally accepted best practice rules and regulations required by The USA PATRIOT ACT and FATF compliant jurisdictions. This audit will help firms and counter parties detect and correct potential problems in complying with AML best practice guidelines and regulatory statutes. This audit can prevent catastrophic damage to a firm’s reputation, ameliorate substantial fines due to non-compliance and strengthen AML risk mitigation practices associated with money laundering and terrorist financing. Sum2, LLC