Sanctions Policy + Sanctions Register Template

£50.00

Length: 24 Pages (Word) + Excel

Applies to: All firm types

Sanctions Policy + Sanctions Register Template

This editable Word template helps regulated firms comply with UK, EU, UN, and global sanctions regimes, including the Sanctions and Anti-Money Laundering Act 2018 (SAMLA), FCA Handbook requirements, OFSI guidance, and related financial crime legislation.

It sets out a comprehensive framework for identifying, assessing, and managing sanctions risks across client onboarding, transaction monitoring, third-party relationships, and global operations. The policy outlines responsibilities for senior management, compliance officers, and front-line staff, ensuring accountability and a robust “tone from the top” approach.

The template includes practical tools such as risk assessment methodologies, screening and monitoring procedures, incident escalation and reporting protocols, asset-freezing steps, and guidance on managing high-risk clients, beneficial ownership checks, and ongoing due diligence. It also covers whistleblowing, governance oversight, training programmes, third-party management, and regulatory engagement with OFSI and the FCA.

Built-in resources support scenario planning, control testing, internal and external audit reviews, data quality management, record-keeping, and automated screening processes. Ideal for banks, investment firms, trading platforms, payment institutions, and other FCA-regulated entities, this template is instantly downloadable and fully editable, enabling firms to establish a proportionate and effective sanctions compliance programme aligned with best practices and evolving regulatory expectations.

Length: 24 Pages (Word) + Excel

Applies to: All firm types

Sanctions Policy + Sanctions Register Template

This editable Word template helps regulated firms comply with UK, EU, UN, and global sanctions regimes, including the Sanctions and Anti-Money Laundering Act 2018 (SAMLA), FCA Handbook requirements, OFSI guidance, and related financial crime legislation.

It sets out a comprehensive framework for identifying, assessing, and managing sanctions risks across client onboarding, transaction monitoring, third-party relationships, and global operations. The policy outlines responsibilities for senior management, compliance officers, and front-line staff, ensuring accountability and a robust “tone from the top” approach.

The template includes practical tools such as risk assessment methodologies, screening and monitoring procedures, incident escalation and reporting protocols, asset-freezing steps, and guidance on managing high-risk clients, beneficial ownership checks, and ongoing due diligence. It also covers whistleblowing, governance oversight, training programmes, third-party management, and regulatory engagement with OFSI and the FCA.

Built-in resources support scenario planning, control testing, internal and external audit reviews, data quality management, record-keeping, and automated screening processes. Ideal for banks, investment firms, trading platforms, payment institutions, and other FCA-regulated entities, this template is instantly downloadable and fully editable, enabling firms to establish a proportionate and effective sanctions compliance programme aligned with best practices and evolving regulatory expectations.