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AML - Going into a review, should I buy a new AML plan even if I've already got one
Licensing Examinations and Applications
AML - Going into a review, should I buy a new AML plan even if I've already got one
The plan you previously had in place is the one that should be reviewed, even if you end up buying a new one.
Last updated on 03 Nov, 2025
Just like a financial audit, an AML third-party audit takes a snapshot of the condition of the compliance at the time leading up to the audit. Purchasing a new plan can eliminate findings of non-compliance but does not erase the flaws in a previous or previously non-existent plan.