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Money Laundering Risk Assessment : Module 4 – Securities Sector Vulnerability (Module 4.A) (英语)

The World Bank Group has developed an analytical risk assessment tool to guide countries in conducting their money laundering / terrorist financing (ML/TF) risk assessment at the national level. The development of the World Bank Group’s National Risk Assessment Tool (“tool”) was commenced by the Financial Markets Integrity team in 2007 and incorporated the intellectual contributions of a wide range of experts, as well as the World Bank’s experience in assisting many countries in performing their national risk assessments. The tool comprises several Excel-based and interrelated modules that enable countries to assess their ML/TF threats and vulnerabilities. “Threats” here refer to the scale and characteristics of the proceeds of criminal activities or financing of terrorism in the jurisdiction. “Vulnerabilities” refers to weaknesses or gaps in a jurisdiction’s defenses against money laundering and terrorist financing. Threats or vulnerabilities may exist at the national or sector level, and all together determine the ML/TF risk level in a jurisdiction. The tool consists of nine modules that make it possible to assess money laundering and terrorist financing risks. The tool is centered around the seven modules that focus on the money laundering risk assessment. In addition, the tool includes a module to assess the risk of terrorism financing and another module to assess the risks of financial inclusion products. National Vulnerability Module (Module 2) and the modules designed for the vulnerability assessment of various sectors (Modules 3 to 7) have a unique and relatively complex logic that utilizes weighted averages, built-in preconditions, and formulas. However, the modules for Threat Assessment, Terrorism Financing Assessment, and the Assessment of Financial Inclusion Products and Services rely on relatively simple matrix based structures.

详细

  • 作者

    World Bank

  • 文件日期

    2022/06/29

  • 文件类型

    工作文件

  • 报告号

    173231

  • 卷号

    1

  • 国家

    世界,

  • 地区

    其他,

  • 发布日期

    2022/06/29

  • Disclosure Status

    Disclosed

  • 文件名称

    Money Laundering Risk Assessment : Module 4 – Securities Sector Vulnerability (Module 4.A)

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