AML Compliance Report

16/07/2026
Knowledge

How To

Location: LEAP Menu > Other > AML Compliance Report

Purpose: Provides a consolidated view of the Anti-Money Laundering (AML) and Counter-Terrorism Financing (CTF) compliance checks that have been completed across your matters. Matters are flagged as a designated service by a staff member within the firm, and for each matter the report displays the responsible staff, whether a designated service applies, and the status of the associated Customer Due Diligence (CDD) checks, screening results, risk rating and risk assessment.

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For information on how to complete the AML and CTF information on your matters, see Compliance / AML Table.

The report enables firms to quickly identify matters where AML/CTF obligations apply and to monitor whether the required due diligence, screening and risk assessment steps have been completed and kept up to date.

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Report Trigger: The report references the Instruction Date recorded on the matter. Only matters with an Instruction Date that falls within the selected Instruction Date Range are included in the results.

Running the Report

Open the report via LEAP Menu > Other > AML Compliance Report.
Set the Instruction Date Range to the period you wish to report on.
Select View to display the results on screen.
Alternatively, select Export to download the report as a PDF or Excel file.

Important Notes

The report is based on the Instruction Date of each matter, not the date any individual check was completed.
Matters that are yet to be marked as a Designated Service, or not a Designated Service, will display, in the Designated Service column.
Where multiple searches have been completed for the same check, each date is displayed and separated by a comma (,). For example, if two beneficial owners have been entered, two dates will be displayed.
Only matters with an Instruction Date within the selected range are returned. Adjust the Instruction Date Range to broaden or narrow the results.

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This report can be downloaded in PDF and Excel format.

Filters and Actions

Instruction Date Range	Sets the reporting period. Only matters with an Instruction Date within the selected range are included.
View	Displays the report results on screen using the selected Instruction Date Range.
Export	Downloads the report. Choose either PDF or Excel.

Report Fields

Matter No.	The matter number.
Description	The matter's description.
Client	The client(s) on the matter.
Client Type	The type of client recorded on the matter (e.g., People, Company, Business).
Staff Responsible	The staff member assigned as the Person Responsible on the matter.
Staff Acting	The staff member assigned as the Person Acting on the matter.
Staff Assisting	The staff member assigned as the Person Assisting on the matter.
Designated Service	Indicates whether a staff member has flagged the matter as involving a designated service under the AML/CTF regime (Yes, No, or - where not completed).
Initial CDD	The status or completion date of the initial Customer Due Diligence performed on the client.
Ongoing CDD Last	The date the most recent ongoing Customer Due Diligence review was completed.
Ongoing CDD Next	The date the next ongoing Customer Due Diligence review is due.
Identity Check	The status or completion date of the client identity verification.
Beneficial Ownership	The status or completion date of the beneficial ownership check.
TFS Check	The status or completion date of the Targeted Financial Sanctions (TFS) check.
PEP Check	The status or completion date of the Politically Exposed Person (PEP) check.
Adverse Media	The status or completion date of the adverse media check.
Source of Funds	The status or completion date of the source of funds enquiry.
Source of Wealth	The status or completion date of the source of wealth enquiry.
Risk Rating	The overall AML/CTF risk rating assigned to the matter (e.g., Low, Medium, High).
CDD Level	The level of Customer Due Diligence applied to the matter (e.g., Simplified, Standard, Enhanced).
Risk Assessment	The date the AML/CTF risk assessment was completed for the matter.

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Where a field displays a dash (—), no value has been recorded for that check on the matter.

Last Modified Date

16/07/2026 11:14 am

Title

AML Compliance Report

URL Name

AML-Compliance-Report-AU

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