FT09.01 - Online Gateway for registration

Description	Online gateway provide a secure online channel for registration of the reporting entities and the reporting officer
List of functionalities	FT09.01.01 - Allow capture of details of reporting entities FT09.01.02 - Allow capture of details of reporting officers FT09.01.03 - Issue login credentials for authorised users FT09.01.04 - Provide console to the authorized person of the reporting entity for management of users and their rights FT09.01.05 - Provide console to the authorized person at FIU for management of the gateway FT09.01.06 - Provide on line help for the users
Implementation Notes	During registration of reporting entities, relevant information (e.g. types of products/services offered, number of branches etc.) can be captured to enable effective compliance management During registration of authorized persons, appropriate roles (nodal officer, technical staff, training staff etc.) can be assigned to enable access to designated information HTTPS protocol on Secure Socket Layer (SSL) and/or two factor authentication can be used to enhance security of the communication channel

FD10 – Capacity building of reporting entities

Description	Capability of reporting entity in preventing abuse of the financial system and detection of suspicious transactions is critical for the national AML/CFT efforts
Goals	Increased awareness about AML/CFT obligations Upgradation of skill level in reporting entities Preventing abuse of financial system for ML/FT Effective implementation of AML/CFT controls by reporting entities Effective detection and reporting of suspicious transactions by reporting entities
Goal Indicators	FG10.01 - Types of communication channels used by FIU FG10.02 - Frequency of interaction with the reporting entities FG10.03 - Types of documents (trend report, typology report) published by FIU FG10.04 - Number and percentage of reporting entities submitting reports FG10.05 - Number and percentage of reporting entities with adequate controls FG10.06 - Instances of specific feedback provided to reporting entities
Base Practices List	FD10.01 - Use of multiple channels to increase awareness FD10.02 - Share best practices with reporting entities FD10.03 - Provide feedback to reporting entities
Related Technology List	FT10.01 - Website FT10.02 - Learning management system
Notes	The FIU may select appropriate capacity building strategy depending on the size of the financial sector and existing capacities.

Дата добавления: 2015-11-14