Policy and Process overview

Summary

The Compliance Centre provides a dedicated Policy and process tab where you can establish and manage your firm’s AML/CTF policy documentation. This section allows you to either create a new policy using a standard template or upload your existing policy documents. Once established, the platform offers tools to manage version history, view audit trails, and update the documents as needed.

Key Features

The Policy and process tab offers two primary methods for establishing your documentation:

• Create Policy and Process: Generates a document based on AUSTRAC starter kits, customised for InfoTrack and triSearch services.
• Upload Your Own: Allows you to upload existing PDF or DOCX files directly to the platform.

Once a policy is in place, details such as the last update date and the user who made the changes, will be displayed.

Next Steps

• If you already have a policy document, refer to the guide on Uploading an External Policy document.
• If you need to generate a new policy, refer to the guide on Generate a Policy and Process document.
• To learn about maintaining your documents, refer to the guide on Managing Policy documents.