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AML/CFT examinations statistics
As part of its work our supervision division conducts thematic and entity-based examinations focusing on compliance with the AML/CFT regime.
The data in the tables is based on the number of registrations not the number of registered persons, e.g. 1 person with a TCB and FSB registration would count as 2 for the purposes of this data set.
For 2019 and 2018 the tables show the:
total number of AML/CFT relevant registrations as at the end of the year, across a range of financial services activities, and
number of examinations which included consideration of AML/CFT matters.
As part of our financial crime prevention programme of work we are currently going through a due diligence process which may impact on how we present this data, this exercise is expected to be completed by the end of 2020. The data below is as at 30 June 2020.
We have published our previous examination feedback papers dating back to 2016, here you will find the scope, objectives and conclusions for each paper.
2019
Total persons with this registration
Total number of on-site visits conducted
Number of AML/CFT specific on-site visits
Number of AML/CFT combined with general supervision on-site visit carried out
Accountants & auditors
111
0
0
0
Banks
25
20
8
1
Casinos
2
0
0
0
Estate agents
43
0
0
0
Insurance
65
0
0
0
Lawyers
53
0
0
0
Lenders
29
0
0
0
MSBs
8
8
2
2
Other
52
28
21
2
Securities FSB/AIFSB
518
36
13
5
Securities IB
78
23
8
1
Trust and company service providers
849
55
27
7
Total
1833
170
79
18
2018
Total persons with this registration
Total number of on-site visits conducted
Number of AML/CFT specific on-site visits conducted
Number of AML/CFT combined with general supervision on-site visit carried out
Accountants & auditors
107
0
0
0
Banks
26
8
0
1
Casinos
2
0
0
0
Insurance
65
0
0
0
Lawyers
56
0
0
0
Lenders
26
0
0
0
MSBs
8
8
0
2
Other
46
31
18
2
Estate agents
42
0
0
0
Securities FSB/AIFSB
521
30
4
10
Securities IB
82
20
0
3
Trust and company service providers
845
33
16
3
Total
1826
130
38
21
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