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Raising an AML concern

The Money Laundering Regulations 2017 place legal obligations upon certain businesses operating in the UK, which includes those offering services as an external accountant.  Sector guidance can be found here.  The IAB offers supervision to its Members in Practice to ensure compliance.  If you believe that these regulations are being breached by an IAB member, please complete the below e-form to raise your concern.  Should you prefer to complete a hard copy form and submit by post, please download the form using the below link and follow the instructions within.

Your concern will be reviewed by the IAB compliance team, who will determine the suitable course of action.

The more detail you can give us, the easier it will be for us to consider what our response should be.  These should be submitted at the time of raising the concern.

The following things are all useful:

  • the names of any individuals involved in the breach of regulation
  • any key dates you know about
  • the ‘how’, ‘what’ and ‘where’ of any supporting documents or evidence
  • the type of wrongdoing and who else knows about it.

You don’t need to give us your identity or contact details, although it would make it easier if we need to clarify things or ask for further information. If you have provided contact details then we may well proactively contact you if we require any further information, unless you specifically ask us not to.

Should you provide your details to allow further contact, but wish to remain anonymous, please mark this clearly on the form.  The IAB will endeavour to maintain your anonymity, however, in certain circumstances this may not be possible – if this is the case, you will be advised prior to any disclosure being made where possible.

If you are considering raising a concern regarding your employer , the Public Interest Disclosure Act 1998 (PIDA) provides protection for someone if they are harmed or dismissed as a result of ‘blowing the whistle’ (known as making a disclosure) about a firm or individual. The IAB is NOT a prescribed body for this purpose.

Should you require further guidance regarding whistleblowing, please visit the government website by clicking here.

If you believe that an external accountant is operating without AML supervision you should contact HMRC on amls.bham@hmrc.gsi.gov.uk.

In your email include:

  • the business name
  • address and postcode
  • ‘Supervised Register Check’ in the subject line

 

Download AML concerns form

 

AML concern form

Raising a concern about an IAB member in breach of the Money Laundering Regulations 2017.

Before completing this form, please read the guide to raising an AML concern in full which can be found above.

1. Your details
You don’t need to give us your identity or contact details, although it would make it easier if we need to clarify things or ask for further information. If you have provided contact details then we may well proactively contact you if we require any further information, unless you specifically ask us not to.

Should you provide your details to allow further contact, but wish to remain anonymous, please mark this clearly below. The IAB will endeavour to maintain your anonymity, however, in certain circumstances this may not be possible – if this is the case, you will be advised prior to any disclosure being made where possible.

2. Details of member or practice you are concerned about

3. Your concern – Please explain your complaint, including relevant date(s)/chronology. (required)
The more detail you can give us, the easier it will be for us to consider what our response should be. These should be submitted at the time of raising the concern.
The following things are all useful:
• the names of any individuals involved in the breach of regulation
• any key dates you know about
• the ‘how’, ‘what’ and ‘where’ of any supporting documents or evidence
• the type of wrongdoing and who else knows about it.

4. Disclosure of complaints to third parties – Have you made any party, other than the IAB, aware of your concern. This would include any law enforcement agency or regulator.

5. Disclosure of complaint to the subject – Is the subject of your complaint aware of your concern.

6. Are there any ongoing legal/civil proceedings regarding your complaint? – If yes, please provide details.

7. Evidence to support your complaint – The IAB will evaluate any concern received, however, if you are able to provide any supporting evidence this would assist our review.