風險要素 風險評等 風險概況 剖析例表 效能 效能遵循 記錄保存 高度有效 區域性洗錢防制組織 國家風險評估 現地評鑑 產業的 通報 部分遵循 評鑑員 傳遞 新興風險 經濟物質條件／因素 資助武擴 資恐 態樣 與風險相當 範疇筆記 勸阻性處罰 勸阻性處罰 屬性 權責機關 國家風險 防制措施
亞太防制洗錢組織 第三輪相互評鑑 洗錢防制／打擊資恐 2 次相互評鑑模擬會議 4 次國家風險評估程序會議 FATF 40項建議 FATF大會 IO（直接成果） 一般追蹤名單 大致遵循 中度有效 內控 以風險為本之方法 加強追蹤名單 加速加強追蹤 未遵循 犯罪收益與工具 合乎比例 地理範圍 自律團體 低度有效 完全遵循 技術遵循 技術遵循 改善作為 沒收 固有的國家風險 固有風險 剩餘風險 固有特徵 法律協議 金融情報中心 (FIU) 金融機構 阻斷資恐動 威脅 弱點 後果 客戶審查
指定之非金融事業與專業人員
指定金融機構 相互評鑑 相互評鑑報告 相當有效 風險免除 風險抵減措施
components of risk risk-rating risk profile profile effectiveness effectiveness compliance (EC) Records Keeping high level of effectiveness FSRB (FATF-style regional body) NRA: national risk assessment on-site sectoral Records Reporting partially compliant (PL) assessor delivery emerging issues materiality proliferation financing (PF) counter-terrorist financing/ terrorism financing typology commensurate with their risks scoping note dissuasive sanctions sanctions ｎature competent authority National Risk Prevention Measures
APG 3rd Round Mutual Evaluation AML/CFT 2 mutual evaluation simulation meetings 4 NRA meetings FATF 40 Recommendations FATF Plenary Immediate Outcomes (IOs) placed on the group's watchlist largely compliant (LC) moderate level of effectiveness internal controls risk-based approach (RBA) enhanced follow-up enhanced follow-up (expedited) non-compliant (NC) proceeds and instrumentalities of crime proportionate geographical reach SRB (self-regulating bodies) low level of effectiveness compliant (C) Technical compliance (TC) technical compliance (TC) remedial actions confiscation inherent national risk inherent risk residual risk inherent characteristics legal arrangement Financial Intelligence Unit (FIU) Financial Institute (FI) to disrupt TF activities threats vulnerabilities consequences Customer Due Diligence Designated Non-Financial Businesses and Professions (DNFBPs) Designated FI mutual evaluation (ME) Mutual Evaluation Report (MER) substantial level of effectiveness risk exemption mitigating measures