A Financial Crime Investigations Policy is an internal document that sets out the rules and standards required of investigators that review potential instances of financial crime. This ensures a consistent approach between investigators and the preservation of material evidence to support findings.
This Financial Crime Investigations Policy template is provided in Word format over 11 pages and 3,438 words. Elements in [square brackets] require editing to make it specific to your organisation.
Design is based on financial services organisations globally and covers the following aspects:
1. Policy Statement
2. Scope
3. Minimum Standards
3.1 Investigations
3.2 Investigations Planning
3.3 Data Collection - External Parties
3.4 Data Collection - Internal Investigations
3.5 Analysis and Recording
3.6 Reporting
3.7 Next Steps
4. Governance
4.1 Roles and Responsibilities
4.2 Training and Communication
4.3 Compliance Monitoring and Review
4.4 Reporting and MI
4.5 Escalations
5. Records and Retention
6. Contacts