Annual Return
Business License
Register of Directors
Register of Members
Register of Officers
Executive Summary
FCSP License
FCSP Annual Update and Declaration Form
Statement of Return
Board of Directors Minutes
Directors and Officers Liability Insurance
Public Liability insurance
Financial Statements
Due from Related Parties
Financial Policies and Procedures Manual
Business Continuity Plan
Organization Chart
New appointment documents
Employee performance appraisals
Employee Job Description
Employee Handbook
Employee acknowledgements of Employee Handbook
Anti-Money Laundering workshop attendance Log
Anti-Money Laundering workshop certificates
MLRO engagement agreement
MLRO letter of appointment
FIU approval letter for MLRO
Quarterly MLRO reports
Suspicious Transaction Log (annual)
Unusual Transaction Log (annual)
Anti-Money Laundering, Combating of Financing of Terrorism and Proliferation Financing Manual
Compliance Officer appointment
Self-Risk Assessment
Risk Assessment Criteria form
Risk rating onboarding form
Risk Rating Schedule
Easy access to all customer files, current and closed
Customer Loan File Destruction Register
Customer Complaint Form
Customer Complaint Log (annual)
Loan File Storage Register
Bank Statement of customer transactions
All leases and agreements with third parties for marketing and services
Securities Commission Of The Bahamas Onsite Work Paper