Template · .docx + updates
AML/CFT Procedure template for Luxembourg entities
The operational manual behind the policy: who does what, when, with which form. Onboarding, ongoing monitoring, periodic review, screening hits, escalation and reporting, written as step-by-step workflows with control owners.
- 36 pages
- .docx + .xlsx
- 12 months of updates
What's included
- Word document · 36 pagesEditable .docx, highlighted fields, optional blocks marked.
- Excel workbookRegister or scoring workbook that feeds the document tables.
- 12 months of regulatory updatesNew versions with a change note, in your account and by email.
1. Onboarding workflow and KYC file checklist
Reg. 12-02 art. 6–20Document lists by customer type, UBO forms, source of funds/wealth.
2. Risk scoring of customers
Reg. 12-02 art. 4Scoring grid, overrides, four-eyes.
3. Ongoing monitoring and periodic review
Reg. 12-02 art. 25–27Review frequencies by risk class, triggers.
4. Name screening and hit handling
Sanctions law; CSSF circularsMatch assessment, escalation to RC, blocking.
5. Transaction monitoring and STR workflow
2004 Law art. 5Alert handling, RC decision, goAML filing.
6. Delegation oversight (RTA, AIFM, distributors)
Reg. 12-02 art. 36Due diligence on delegates, KPIs, annual review.
7. Forms and registers annex
—12 ready-to-use forms.
Watermarked preview of the first pages. The full document is 36 pages.
| Obligation | Law of 12 Nov 2004 | CSSF Reg. 12-02 | Section |
|---|---|---|---|
| Onboarding | 2004 Law art. 3 | Reg. 12-02 art. 6–20 | §1 |
| Periodic review | — | Reg. 12-02 art. 25–27 | §3 |
| STR | 2004 Law art. 5 | — | §5 |
| Delegation | 2004 Law art. 3(2) | Reg. 12-02 art. 36 | §6 |
- Editable .docx (Word 2016+, Google Docs, LibreOffice). Fields to complete are highlighted in yellow; optional blocks are marked [IF APPLICABLE].
- Instant delivery: download link by email and permanent access in My documents.
- 12 months of regulatory updates included. Each update comes with a change note.
- Invoice with your VAT number issued automatically at checkout (Stripe Tax, reverse charge for EU B2B).
- Single-entity licence. Group licence and ManCo multi-fund licence available on request.
Read the guide: CSSF Regulation 12-02 explained
Frequently asked
Is the procedure aligned with the policy template?
Same numbering, same definitions, same control names. Buying both avoids the inconsistency finding inspectors raise most often.
Are the forms included?
Twelve forms and registers as separate Word/Excel files: KYC checklist, UBO declaration, PEP approval, screening hit form, STR decision record and others.