Please complete the entries on this tab as well as the Entry Page (Products) tab, before saving the scenario/case. Buttons to save the cases/scenarios are on the Entry Page (Products) tab. ASSESSMENT RATING A. GENERAL INPUT VARIABLES/AML CONTROLS (FOR SECURITIES INSTITUTION TYPE ) Comprehensiveness of AML Legal Framework Effectiveness of Supervision Procedures and Practices Availability and Enforcement of Administrative Sanctions Availability and Enforcement of Criminal Sanctions Availability and Effectiveness of Entry Controls Integrity of Staff in Securities Firms AML Knowledge of Staff in Securities Firms Effectiveness of Compliance Function (Organization) Effectiveness of Suspicious Activity Monitoring and Reporting Level of Market Pressure to Meet AML Standards Availability and Access to Beneficial Ownership Information Availability of Reliable Identification Infrastructure Availability of Independent Information Sources 0 Incomplete! Proceed (Inherent Output Prioritization Vuln.) Vulnerability Map Charts Please use the buttons below the table to save the original case and any scenarios. B. INHERENT VULNERABILITY FACTORS (FOR SECURITIES INSTITUTION TYPE ) Total Value/Size Complexity and Diversity of the Portfolio Client Base Profile Existence of Investment/Deposit Feature Liquidity of the Portfolio Frequency of International Transactions Other Vulnerable Factors - Anonymous/Omnibus use of the product in the securities institution type Other Vulnerable Factors - Existence of ML typologies on the abuse of securities institution type Other Vulnerable Factors - Use of the securities institution type in market manipulation, insider trading and securities fraud Other Vulnerable Factors - Difficulty in tracing the transaction records of the securities institution type Other Vulnerable Factors - Non face to face use of the product in the securities institution type Other Vulnerable Factors - Level of cash activity associated with the securities institution type Back to Entry Output Vulnerability Map Prioritization Page Charts OVERALL ASSESSMENT FOR SECURITIES INSTITUTION TYPE Incomplete! SECURITIES INSTITUTION TYPE FINAL VULNERABILITY SECURITIES INSTITUTION TYPE INHERENT VULNERABILITY 1.00 1.00 0.90 0.90 H LEGEND 0.80 0.80 0.70 0.70 MH 0.60 0.60 0.50 0.50 M 0.40 0.40 0.30 0.30 ML 0.20 0.20 0.10 0.10 L 0.00 0.00 Original Case Scenario 2 Scenario 3 Scenario 4 Scenario 5 Scenario 6 Scenario 7 Scenario 8 Scenario 9 Scenario 10 Original Case Scenario 2 Scenario 3 Scenario 4 Scenario 5 Scenario 6 Scenario 7 Scenario 8 Scenario 9 Scenario 10 QUALITY OF AML CONTROLS 1.00 0.90 H 0.80 0.70 MH 0.60 0.50 M 0.40 0.30 ML 0.20 0.10 L 0.00 Original Case Scenario 2 Scenario 3 Scenario 4 Scenario 5 Scenario 6 Scenario 7 Scenario 8 Scenario 9 Scenario 10 QUALITY OF INTERNAL AML POLICIES AND PROCEDURES COMMITMENT AND LEADERSHIP OF MANAGEMENT IN QUALITY OF OPERATIONS IN SECURITIES FIRMS SECURITIES FIRMS 1.00 1.00 1.00 0.90 0.90 0.90 H 0.80 0.80 0.80 0.70 0.70 0.70 MH 0.60 0.60 0.60 0.50 0.50 0.50 M 0.40 0.40 0.40 0.30 0.30 0.30 ML 0.20 0.20 0.20 0.10 0.10 0.10 L 0.00 0.00 0.00 Scenario 2 Scenario 3 Scenario 4 Scenario 5 Scenario 6 Scenario 7 Scenario 8 Scenario 9 Scenario 10 Original Case Scenario 2 Scenario 3 Scenario 4 Scenario 5 Scenario 6 Scenario 7 Scenario 8 Scenario 9 Scenario 10 Original Case Scenario 2 Scenario 3 Scenario 4 Scenario 5 Scenario 6 Scenario 7 Scenario 8 Scenario 9 Original Case Scenario 10 STAFF COMPLIANCE IN SECURITIES FIRMS QUALITY OF CDD FRAMEWORK QUALITY OF AML SUPERVISION 0.00 0.20 0.30 0.40 0.50 0.60 0.70 0.80 0.90 1.00 0.10 Original Case Scenario 2 Scenario 3 Scenario 4 Scenario 5 Scenario 6 STAFF COMPLIANCE IN SECURITIES FIRMS Scenario 7 Scenario 8 Scenario 9 Scenario 10 0.00 0.10 0.20 0.30 0.40 0.50 0.60 0.70 0.80 0.90 1.00 Original Case Scenario 2 Scenario 3 Scenario 4 QUALITY OF CDD FRAMEWORK Scenario 5 Scenario 6 Scenario 7 Scenario 8 Scenario 9 Scenario 10 0.00 0.10 0.20 0.30 0.40 0.50 0.60 0.70 0.80 0.90 1.00 Original Case Scenario 2 Scenario 3 Scenario 4 Scenario 5 QUALITY OF AML SUPERVISION Scenario 6 Scenario 7 Scenario 8 Scenario 9 Scenario 10 L H M ML MH LEGEND Vulnerability/Controls (Original Case) Vulnerability/Controls (Scenario Analysis) More Outputs Vulnerability Map Prioritization Back to Entry Page Outputs VULNERABILITY MAP Quality of Operations in Securities Firms QUALITY OF AML CONTROLS Quality of Internal AML Policies and Procedures Effectiveness of Suspicious Availability of Independent Activity Monitoring and Information Sources Reporting Availability of Reliable Identification Infrastructure Quality of CDD Framework Availability and Access to Beneficial Ownership info Level of Market Pressure to Meet AML Standards Commitment and Leadership of Management in Securities Firms Availability and Effectiveness of Entry Controls Availability and Enforcement of Staff Criminal Sanctions Compliance in Securities Quality of AML Supervision Effectiveness of Compliance AML Knowledge of Staff Function in Securities Integrity of Staff in Securities Comprehensiveness of AML Legal Framework ailability of Independent Click here to go back to entry pag Information Sources Availability of Reliable ntification Infrastructure vailability and Access to eneficial Ownership info vel of Market Pressure to Meet AML Standards ailability and Effectiveness of Entry Controls ilability and Enforcement of Criminal Sanctions Quality of AML Effectiveness of Supervision Procedures Supervision and Practices AML Knowledge of Staff Availability and in Securities Firms Enforcement of Admin. Sanctions grity of Staff in Securities here to go back to entry page ! NOTICE! The data on this page contains the assumptions of the model and can only be edited by authorized users. PRIORITY PRIORITY RANKING FOR GENERAL INPUT VARIABLES/AML CONTROLS - LAST CASE/SCENARIO RANKING** Comprehensiveness of AML Legal Framework Effectiveness of Supervision Procedures and Practices Click here to return to the "Entry Page"! Availability and Enforcement of Administrative Sanctions Availability and Enforcement of Criminal Sanctions Availability and Effectiveness of Entry Controls Integrity of Staff in Securities Firms AML Knowledge of Staff in Securities Firms Effectiveness of Compliance Function (Organization) Effectiveness of Suspicious Activity Monitoring and Reporting Level of Market Pressure to Meet AML Standards Availability and Access to Beneficial Ownership Information Availability of Reliable Identification Infrastructure Availability of Independent Information Sources *Due to the conditionality in the model structure, the impact analysis is not straightforward and needs to be done through best scenario analysis. For the impact analysis, a best case scenario has therefore been created. The factor to be analyzed is retracted to its original (entry) value, while all other components are held constant at their best scenario values. Macros measure the negative impact (compared to the best case scenario) of each input and ranks the factors accordingly. **The lower the ranking and darker the color, the more priority the item has. Original Case INPUTS - GENERAL INPUT VARIABLES/AML CONTROLS Comprehensiveness of AML Legal Framework Effectiveness of Supervision Procedures and Practices Availability and Enforcement of Administrative Sanctions Availability and Enforcement of Criminal Sanctions Availability and Effectiveness of Entry Controls Integrity of Staff in Securities Firms AML Knowledge of Staff in Securities Firms Effectiveness of Compliance Function (Organization) Effectiveness of Suspicious Activity Monitoring and Reporting Level of Market Pressure to Meet AML Standards Availability and Access to Beneficial Ownership Information Availability of Reliable Identification Infrastructure Availability of Independent Information Sources OUTPUTS/ASSESSMENT RESULTS FOR INTERMEDIATE VARIABLES SECURITIES INSTITUTION TYPE FINAL VULNERABILITY SECURITIES INSTITUTION TYPE INHERENT VULNERABILITY QUALITY OF AML CONTROLS Quality of Operations in Securities Firms Quality of Internal AML Policies and Procedures Quality of CDD Framework Staff Compliance in Securities Firms Quality of AML Supervision Commitment and Leadership of Management in Securities Firms PRIORITY RANKING FOR GENERAL INPUT VARIABLES/AML CONTROLS Comprehensiveness of AML Legal Framework Effectiveness of Supervision Procedures and Practices Availability and Enforcement of Administrative Sanctions Availability and Enforcement of Criminal Sanctions Availability and Effectiveness of Entry Controls Integrity of Staff in Securities Firms AML Knowledge of Staff in Securities Firms Effectiveness of Compliance Function (Organization) Effectiveness of Suspicious Activity Monitoring and Reporting Level of Market Pressure to Meet AML Standards Availability and Access to Beneficial Ownership Information Availability of Reliable Identification Infrastructure Availability of Independent Information Sources Scenario 2 Scenario 3 Scenario 4 Scenario 5 Scenario 6 Scenario 7 Scenario 8 Scenario 9 Scenario 10