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Circulars

No. Date Keywords Titel  

C 2004/1

06.12.04 Audit/accrediting

Circular 2004/1
Accrediting of external AMLA auditors

French
German
Italian





PDF (PDF, 112 KB)
PDF (PDF, 112 KB)
PDF(PDF,114 KB)

     

Annex:
Form

French
German
Italian




Word_Dokument
(Word, 56 KB)
Word_Dokument (Word, 56 KB)
WordDokument
(Word, 51 KB)

C 2004/2

10.12.04 Auditing concept
/working papers

Circular 2004/2 Audit of financial intermediaries through an accredited auditor

French
German
Italian

Annexes:





PDF
(PDF, 96 KB)
PDF (PDF, 96 KB)
PDF(PDF, 91 KB)

     

- WP 1 / Description of the financial intermediary

French
German
Italian




Word_Dokument
(Word, 99 KB)
Word_Dokument(Word, 99 KB)
WordDokument(Word, 102 KB)
     

- WP 2 / Organisational measures

French
German
Italian




Word_Dokument
(Word, 112 KB)
Word_Dokument (Word, 112 KB)
WordDokument(Word, 111 KB)
     

- WP 3 / Review of the DSFI's accounting

French
German
talian




Word_Dokument
(Word, 82 KB)
Word_Dokument (Word, 82 KB)
WordDokument(Word, 83 KB)
      - WP 4a / Permanent business relationships

French
German
talian



Word_Dokument
( Word, 104 KB)
Word_Dokument( Word, 104 KB)
Worddokument(Word, 102 KB)
      - WP 4b / Occasional clients

French
German
Italian



Word_Dokument
(Word, 96 KB)
Word_Dokument (Word, 96 KB)
WordDokument (Word, 91 KB)
      - WP 5 / Obligation to establish and retain documents

French
German
Italian



Word_Dokument
(Word, 88 KB)
Word_Dokument(Word, 88 KB)
Worddokument(Word, 89 KB)
      - WP 6 / Obligations in case of a suspicion of money laundering

French
German
Italian




Word_Dokument
(Word, 88 KB)
Word_Dokument (Word, 88 KB)
WordDokument (Word, 90 KB)
      - WP 7 / Statement of the financial intermediary

French
German
Italian



Word_Dokument
(Word, 56 KB)
Word_Dokument (Word, 56 KB)
WordDokument (Word, 52 KB)
      - WP 8 / AMLA audit report to the MLCA

French
German
Italian



Word_Dokument
(Word, 60 KB)
Word_Dokument (Word, 60 KB)
Worddokument
(Word, 62 KB)
     

- Requirements concerning the contents of the AMLA audit report

French
German
Italian





PDF
(PDF, 32 KB)
PDF (PDF, 32 KB)
PDF (PDF, 161 KB)
C 2005/1 07.11.07 Cycle de révision

Circular 2005/1
Risk based auditing cycle for DSFI

French
German
Italian





PDF
(PDF, 24 KB)
PDF (PDF, 23 KB)
PDF (PDF, 23 KB)

C 2006/1 10.04.06

Information
exchange

Circular 2006/1
Information exchange between the SROs and the AMLCA concerning affiliations, exclusions and withdrawals of financial intermediaries

French
German
Italian








PDF
(PDF, 40 KB)
PDF (PDF, 40 KB)
PDF (PDF, 37 KB)
C 2006/2 17.11.06

Electronic saving

Circular 2006/2
Interpretation of Art. 7 AMLA, particularly the electronic saving of documents

French
German
Italian






PDF
(PDF, 32 KB)
PDF (PDF, 32 KB)
PDF (PDF, 25 KB)

C 2007/1

26.02.07 Deadline / extension

Circular 2007/1
submission of the AMLA-audit reports

French
German
Italian



PDF (PDF, 32 KB)
PDF
(PDF, 32 KB)
(PDF, 33 KB)

Specialist staff: info@gwg.admin.ch

Last update: 10.09.2007

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