"Under the AML/CTF and your firm’s customized Personnel Training Policy, all personnel performing AML/CTF-related roles, especially client-facing staff- must complete initial training before being granted access to AML/CTF operational systems or performing regulated professional services "

"See Annual report to the governing body process for instructions on how to prepare the form."

"Use this form to consolidate results from periodic testing."

"Complete this form whenever you: - review or update the risk assessment, including the ML/TF risk assessment, ML/TF methods and typologies, and list of indicators of unusual and criminal behaviour - review or update the policies, processes, forms and systems you use to ensure compliance and manage or mitigate ML/TF risk - escalate or approve updates - communicate and implement approved changes - record program maintenance and related decisions."

"Use this form to complete quarterly effectiveness (or less frequently if operating effectively) checks, if TTR obligations apply to your practice."

"This form must be completed by the AML/CTF compliance officer quarterly (or less frequently if operating effectively) and whenever issues or errors are identified."

"Use this form to review the effectiveness of a sample of client onboarding and customer due diligence (CDD) processes. This helps make sure all CDD steps, risk assessments and screening activities are correctly applied."

"This form helps the governing body assess the effectiveness of the AML/CTF compliance officer and senior manager. It ensures both roles have adequate authority, resources and oversight to meet your regulatory obligations."

"This form must be completed by the AML/CTF compliance officer quarterly (or less frequently if operating effectively) and whenever issues or errors are identified."

"Use this form to record how you responded to any findings from an independent evaluation."

"Complete this form when a trigger event occurs and requires a review and update of client information and money laundering and terrorism financing (ML/TF) risk. "

"Complete this form for clients you still have a business relationship with to review and update their client information and their ML/TF risk. If you are still providing the client with a designated service client details and circumstances may have changed since onboarding. To check this, send the client their original onboarding form and confirm if the information is still current or requires changing."

"This register is to be completed by the AML/CTF compliance officer to record the details of all escalation forms they receive."

"This form is used by the AML/CTF compliance officer to review unusual activity that was either: - reported to them by personnel in an unusual activity report information form - detected by themselves when assisting with customer due diligence."

"Use this form to complete and record all enhanced CDD checks. Repeat steps 1 to 5 for each relevant party. Attach extra pages as needed and keep all supporting evidence in the client record."

"This form is for client-facing personnel to escalate triggers to the AML/CTF compliance officer."

"This section is for personnel to use when they have identified any potentially suspicious client activity before escalating to the AML/CTF compliance officer. Ensure the details are accurate and complete. Once you have captured the details, submit this form following the Escalating matters to the AML/CTF compliance officer process."

"This form is for internal use only. Do not share this form without approval from the AML/CTF compliance officer. Before you complete this form, you must make sure the onboarding form has been fully completed. You may need to ask the client for more information if you can't complete this form without it."

"Complete this form to help us meet our obligations under the Anti-Money Laundering and Counter-Terrorism Financing Act 2006 (AML/CTF Act). An onboarding form must be completed for each person requesting the service. We may also need to request further information from you."

"This form is for internal use only. Do not share this form without approval from the AML/CTF compliance officer. Before you complete this form, you must make sure the onboarding form has been fully completed. You may need to ask the client for more information if you can't complete this form without it."

"Complete this form to help us meet our obligations under the Anti-Money Laundering and Counter-Terrorism Financing Act 2006 (AML/CTF Act). An onboarding form must be completed for each person requesting the service. We may also need to request further information from you."

"This form is for internal use only. Do not share this form without approval from the AML/CTF compliance officer. Before you complete this form, you must make sure the onboarding form has been fully completed. You may need to ask the client for more information if you can't complete this form without it."

"Onboarding form: body corporate, partnership or unincorporated association - Complete this form to help us meet our obligations under the Anti-Money Laundering and Counter-Terrorism Financing Act 2006 (AML/CTF Act). An onboarding form must be completed for each person requesting the service. We may also need to request further information from you."

"This form is for internal use only. Do not share this form without approval from the AML/CTF compliance officer. Before you complete this form, you must make sure the onboarding form has been fully completed. You may need to ask the client for more information if you can't complete this form without it."

"Complete this form to help us meet our obligations under the Anti-Money Laundering and Counter-Terrorism Financing Act 2006 (AML/CTF Act)."

"This form records all checks, assessment and approval for personnel due diligence (PDD). Follow the instructions in each section carefully and complete all required fields."

"Use this form to conduct personnel due diligence on and appoint, an anti-money laundering and counter-terrorism financing (AML/CTF) compliance officer. Follow the instructions in each section and attach all supporting evidence to this form."

"Personnel due diligence where the compliance officer and governing body are the same person form This form applies when an anti-money laundering and counter-terrorism financing (AML/CTF) compliance officer also serves as the practice's governing body. It outlines the due diligence requirements and how to record the appointment. "

"This matrix is a summary of anti-money laundering and counter-terrorism financing (AML/CTF) obligations and which role will be responsible for meeting each obligation. There are 4 kinds of roles that can be assigned these obligations: • governing body (GB) • AML/CTF compliance officer (CO) • senior manager (SM) • client -facing personnel and other personnel with an AML/CTF function (CP). "

"Use this form to identify eligible personnel in your practice that will fulfill each AML/CTF role. One person can fill multiple roles. To help streamline your processes, we recommend that your AML/CTF compliance officer also be a senior manager."

"Named accountable owner per AI system. Every AI system in scope must have a named, accountable owner. This register template documents ownership assignments per system, ensuring clear accountability for AI governance, compliance, and performance."

"Roles and responsibilities across all IOS - AIMS activities. "

"8-principle AI Ethics Framework with governance structure - This AI Ethics Framework establishes the ethical principles, commitments, and governance mechanisms that govern how organisation develops, deploys, and operates AI systems. It underpins the AIMS Policy and operationalises the responsible AI commitments made under Annex A.7 of ISO/IEC 42001:2023."

"Top management commitment statements - Template"

"This policy provides the overarching framework under which all AI-related activities are governed, ensuring that AI systems are developed and used in a manner that is safe, transparent, fair, accountable, and aligned with applicable laws, regulations, and ethical principles."

"This document maps all processes within the AI Management System (AIMS), showing their owners, inputs, outputs, and interactions. It satisfies the requirement in ISO Clause 4.4 that the organisation establish, implement, maintain and continually improve an AIMS - including all required processes and their interactions."

"Formal Artificial Intelligence Management System (AIMS) scope definition template "

"This register identifies all legal, regulatory, contractual, and voluntary obligations that apply to the organisation's AI systems and AI Management System (AIMS). It feeds directly into risk assessments, control selection, and the Statement of Applicability. "

"Identify all parties with a stake in the organisation's AI systems, document their needs and expectations, and determine which of those requirements are binding on the AIMS. It is about Stakeholder needs and binding requirements. "

"This inventory captures all AI systems used by or on behalf of the organisation. It is the foundation of the AIMS scope and feeds into risk assessment, impact assessment, and monitoring activities. It is a register of all AI systems in scope."

"Internal and external issues register (PESTLE)"

"ISO/IEC 42001:2023 Annex C provides specific guidance for organisations that develop AI systems for use by other organisations - i.e., AI developers, AI product companies, AI-as-a-Service providers, and managed AI service providers. This document summarises those concepts and provides practical implementation templates for the developer-side AIMS. "

"AI concepts, terminology, and risk classification guide - This document is an implementation reference guide. It is NOT a reproduction of the ISO/IEC 42001:2023 standard. Users must obtain a licensed copy of the standard from ISO (iso.org) for the full normative text."

"Cross-reference of ISO 42001 Annex A controls mapped to EU AI Act, NIST AI RMF, and ISO 27001. Use this to demonstrate alignment across frameworks and avoid duplicating compliance efforts. The document helps organisations that need to comply with multiple AI governance frameworks simultaneously. For each ISO 42001 control, it shows the equivalent or related requirements in other major frameworks."

"Complete Implementation, Audit & Evidence Guide - All 39 Controls"

"Complete AIMS Implementation Guide - A 12-month phased implementation roadmap - From Zero to Certification Ready. "

"Baseline gap assessment checklist (128 requirements) - Use this checklist to assess your current state against ISO/IEC 42001:2023 requirements. Score each item: C = Conformant | PC = Partially Conformant, NC = Non-Conformant, NA = Not Applicable"

"Systematic approach to detecting and mitigating algorithmic bias."

"Framework for identifying, assessing, and mitigating risks in AI systems."

"Procedures for handling AI system incidents."

"Required under GDPR Article 35 for high-risk processing."

"Document data flows through your ML pipelines for GDPR compliance."

"Requirements for AI systems that make decisions affecting individuals."

"Step-by-step path to help with ISO implementation and potential certification"

"Quick assessment of current state vs requirements."

"Map your AI systems to ISO 42001 Annex A controls."

"An AI Centre of Excellence (CoE) is a transitional organizational structure that centralizes AI capability, standards, and governance expertise. It is useful in the early stages of AI adoption. It does not scale. This document defines how to design an effective AI CoE, when to use it, and how to evolve it into a distributed AI operating model as organizational maturity increases."

"AI cost governance ensures that spending on AI systems is intentional, attributed, and proportional to business value. Without structured cost governance, AI spend becomes opaque - individual teams optimise locally, shared costs go unattributed, and cost overruns surface only when budgets are already blown."

"When something goes wrong with an AI system, or when a governance control identifies a material concern - clear escalation paths ensure the right people are informed and empowered to act."

"AI incident forensics differs from traditional IT forensics. The "evidence" is probabilistic model outputs, context windows measured in tens of thousands of tokens, and inter-agent communication chains. Reconstructing what happened requires purpose-built procedures."

"Governance is not a one-time activity. It requires a rhythm of reviews, escalations, and decisions that keep AI systems aligned with organizational risk appetite and regulatory expectations."

"Clear accountability is the foundation of effective AI governance. This document defines who is Responsible, Accountable, Consulted, and Informed for each governance activity"

"GenAI introduces roles that did not exist in traditional ML operating models. These roles may be net-new hires, extensions of existing roles, or temporary responsibilities assigned to existing team members as the organization scales. This template defines GenAI-specific roles, their responsibilities, required skills, and how they integrate with the existing organisational structure."

"AI governance does not exist in a vacuum. Every regulated organisation already has governance, risk, and compliance (GRC) functions - risk committees, control libraries, audit plans, and reporting frameworks. AI governance must plug into these existing structures, not create parallel bureaucracy. This document maps AI governance controls to enterprise risk frameworks and defines how AI risk management integrates with first, second, and third lines of defence."

"A governance program without metrics is a governance program without evidence - of effectiveness, of compliance, or of value. These KPIs measure the health of the AI governance program itself, not the performance of individual AI systems"

"Board and executive reporting on AI risk ensures informed oversight without operational overload. The board needs to understand the organization's AI risk posture, not the details of individual models. Report what matters for strategic decisions: portfolio health, material incidents, regulatory exposure, and cost trajectory. Applies to all AI Frameworks"

"Complete this template for quarterly board/risk committee reporting on AI systems. Keep it concise - 5 pages maximum. Applies to all AI frameworks. Lead with decisions required, not with data. Reference detailed incident reports, risk assessments, and monitoring dashboards rather than reproducing them here."

"This document maps common AI governance controls and policies to major regulatory and compliance frameworks. Use it to identify which parts of this framework satisfy requirements you're already subject to. All complementary policies can be found in the template gallery. "

"Use this matrix to identify, score, and prioritise AI-related risks for your organisation. Review quarterly or whenever you adopt a new AI tool."

"This policy defines how employees may use artificial intelligence tools in their work. It exists to protect the organization, clients, and data while enabling teams to benefit from AI technology."

"This plan covers what to do when an AI tool produces harmful output, exposes sensitive data, or causes an operational disruption. Speed matters. Follow the steps in order."

"Send this questionnaire to vendors when evaluating AI-powered products or features. Adapt questions based on your industry and regulatory requirements."

"Use this format to keep leadership and stakeholders informed about AI initiatives without overwhelming them. Aim for 5-10 minutes of reading time. Send on Monday mornings."

"A step-by-step guide for going from "we should use AI" to a governed, productive rollout. Designed for organisations without a dedicated AI team."

"How to stand up a cross-functional AI oversight group that actually works, without creating another meeting nobody wants to attend."

"A modular training plan for rolling out AI tools to non-technical teams. Pick the modules relevant to your rollout phase. Each module is designed as a 30-45 minute session. This Template only provides the outline - you need to organise the courses"

"Use this checklist to evaluate any AI tool before approving it for organizational use. Score each category, then use the total to guide your decision."

"Before using any data with an AI tool, you need to know what kind of data it is. This guide helps you make that call quickly. "

"Framework Alignment | NIST AI RMF (GOVERN, MAP, MEASURE, MANAGE) |"

"The AI Policy establishes principles for the ethical, responsible and effective use of AI systems. It ensures alignment with our mission and values."