Services

AML/CFT Audit – DNFBPs

I am available for AML/CFT limited assurance audits for DNFBPs (Phase 2 entities being Lawyers, Conveyancers, Accountants and Real Estate Agents).  

Whether you are working as a sole practitioner / sole director or partner; or whether your firm is large with many employees; I am able to assist your firm with the AML/CFT audit.

I understand that this is a scary process for many firms. I would like to set your mind at ease in that I am very friendly and approachable, and I take a highly educational approach to the AML/CFT audits.

Please refer to the AML/CFT tab for further details.

AML/CFT Consultancy

I am able to assist with any AML/CFT queries or questions you may have.

If you are not sure whether your firm is conducting captured activities, or is captured by the AML/CFT Act as a DNFBP – I am here to assist.

Other services

Additionally, I am able to assist with the following:

  1. Assist lawyers who are applying to practice on their own account and wil be attending a Section 30 interview.
  2. Interviewing of trust acounting staff and skill testing.
  3. Assistance with training of trust accoutning staff.
  4. Implementation of a basic procedures manual (trust account) in line wiht the practices policies and procedures.

Trust account consultancy

 

  1. Firm/practice reviews in line with the Rules and Regulations.
  2. Assistance post NZLS review to attend to the issues that have been raised in the Review Report.
  3. Assistance with tidying up the firm pre-review by a NZLS Inspector i.e. a mini-review.
  4. Assistance provided if your firm has been referred to the Lawyers Complaints Service (LCS) for serious non-compliance breaches.
  5. General trust accounting advice.
  6. Assistance with monthly and quarterly trust account reconciliations and financial reporting.
  7. Month-end balancing on your trust account software.
  8. Review of the trust accounting ledgers (trust account, interest earning accounts) and reconciliation of ‘messy’ client ledgers.
  9. Assistance with dormant balances (we all hate these!).
  10. Trust account software evaluation.
  11. Guidance and assistance around the closure of a practice / merger.
  12. Assistance with new firm setups and trust accounting software.
  13. Investigation into fraudulent activities within the firm / trust account.
  14. One-off or regular compliance audits – comprehensive review of the firms adherance to the regulatory guidelines; produce a report of what internal controls are required to be implemented.
  15. Evaluation of internal controls to assess whether adequate separation of duties are in place.
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