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Location: LEAP Menu > Reports > Matters & Clients > AML Annual Report
Purpose: This report offers AML Compliance information for the specified date range, helping fulfill the DIA's Annual AML Report requirements. Simply choose your preferred format (PDF, Excel, or Word) and click 'Download' to access this report.
Filters:
| Date Range | Limits results to all tasks that have a 'Due Date' within the specified date range. |
Report Fields:
7.1 Entities formed
NOTE: For a matter to be considered, it must meet the following two requirements:
- Its Matter Type is Company, Partnership, Trust Formation or Trust Administration.
- The matter's 'Formation Date' (entered under the Calendar & Tasks tab within the matter) falls within the specified date range.
Please ensure client cards have the correct Card Type and sub-type for accurate record keeping. Refer to the examples below.
| Number of Companies | Total number of Companies.
A client card will be counted if the Card Type is 'Company' and the sub-type is not 'Charity'. |
| Number of Trusts - excluding Charitable Trusts | Total number of Trusts (Excluding Charitable Trusts).
A client card will be counted if the Card Type is 'Trust'. |
| Number of Partnerships | Displays total Number of Partnerships.
A client card will be counted if the Card Type is 'Business / Partnership' and the sub-type is not 'Charity'. |
| Number of Charities |
Total Number of Charities.
A client card will be counted if the Card Type is 'Company' or 'Business / Partnership' and the sub-type is 'Charity'. Here are two examples of 'Charities'.
Example 1 below shows a Company card with the Company Type set as 'Charity'.
Example 2 below shows a 'Business / Partnership' card with the Type set as 'Charity'.
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7.2 Firm acts as nominee director, nominee shareholder or trustee for
| Number of Nominee Directorship Roles | Total number of Nominee Directorship Roles. |
| Number of Nominee Shareholder Roles | Total number of Nominee Shareholder Roles. |
| Number of Trustee Roles | Total Number of Trustee Roles. |
NOTE:
For a matter to be taken into account, its Matter Type needs to be Company, Partnership, Trust Formation or Trust Administration.
The figures are determined by your selection in a matter's Firm Role window. Here's an example of a single Nominee Shareholder Role count.
7.3 Firm provides the registered office for
| Number of Companies | Total number of Companies for which the firm has provided the registered office. |
| Number of Trusts - excluding Charitable Trusts | Total number of Trusts (Excluding Charitable Trusts) for which the firm has provided the registered office. |
| Number of Partnerships | Total Number of Partnerships for which the firm has provided the registered office. |
| Number of Charities | Total Number of Charities for which the firm has provided the registered office. |
NOTE:
The figures are based on whether the 'Firm address is registered office' option is checked in the relevant matters' Firm Role window. Here is an example of a single Number of Companies count since the Client Card Type is Company (non-Charity) and 'Firm address is registered office' is ticked.
7.4 Client funds managed
| Opening Trust Bank Balance | The total opening balances of all General Trust Bank Accounts as of your selected 'Start Date'. |
| Plus Opening IBD Balances |
Plus the total opening Interest Bearing Deposit (IBD) account balance as of your selected 'Start Date'.
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| Plus Trust Receipts | Plus the total of Trust receipts and IBD receipts during your specified period. |
| Less Receipts applied to Accounts Rendered | Less the total of Trust to Office Transfer during your specified period. |
| Total Funds Managed | Final total of above as of your chosen 'End Date'. |
7.7 Services Provided
| Total value of services provided |
A total of all Trust Payments, excluding payments that are made to IBD accounts on matters that have the following matter types: Lease, Purchase, Retirement Village, Sale, Subdivision, Company, Partnership, Purchase of Business, Sale of Business, Trust Formation and Trust Administration.
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7.9 Cash Receipts (incl cheques)
| Total cash receipts |
The total amount of cash receipts.
'Cash receipts' refer to receipts from Office, Trust and IBD accounts with the Payment Type set to Cash or Cheque, which includes Bank Cheque, Personal Cheque and Trust Cheque.
Here is an example of a 'cash receipt'.
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| Total non-cash receipts |
The total amount of non-cash receipts.
'Non-cash receipts' refer to receipts, other than 'cash receipts', from Office, Trust and IBD accounts.
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| Percentage | Displays the percentages of 'cash receipts' and 'non-cash receipts' values against the total receipt value. |
7.10 Overseas Transactions
Please note that the report will include overseas transactions dated within the specified date range. If the Entry Date and Transaction Date differ for a trust or IBD transaction, the report will list overseas transactions with the Entry Date falling within the specified date range.
| Overseas Receipts |
Displays the following information of Overseas Receipts:
- Matter No
- Client
- Matter Description
- Date
- Amount
- Total
NOTE:
- Overseas Receipts refer to any receipts from Office, Trust and IBD accounts with the Payment Type set to 'International'.
- Date refers to the Transaction Date, not the Entry Date of a trust or IBD payment.
Here is an example of an 'Overseas Receipt' from an IBD account (an IBD deposit).
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| Overseas Payments |
Displays the following:
- Matter No
- Client
- Matter Description
- Date
- Amount
- Total
NOTE:
- Overseas Payments refer to any payments from Office, Trust and IBD accounts with the Payment Type set to 'International'.
- Date refers to the Transaction Date, not the Entry Date of a trust or IBD payments.
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| Total Overseas Transactions | The Total Overseas Tansactions equal the sum of total Overseas Receipts and total Overseas Payments. |
8.1 Clients on whom CDD was conducted
| Total clients on whom CDD was conducted | Total number of clients on whom Customer Due Diligence (CDD) was conducted on, with their full names listed. |
NOTE:
- 8.1-8.3 consider only matters that are created within the specified date range (i.e., the Instruction Date set under the Calendar & Tasks tab falls within the specified date range).
- To constitute a single count, a client card on such matters must have met the following two requirements:
1. Under Card Details > AML: CDD has been conducted. Note that CDD is considered conducted when CDD Completed Date is entered.
2. The person's AML Identity Check is completed: when the mode of IDENTITY VERIFICATION is identified, the AML Identity Check is considered as completed. And if the card has two persons and both persons' AML Identity Check is completed and the CDD Completed Date is entered, it constitutes two counts.
Please consider supplying comprehensive information. You can review the article How to Complete AML.
8.2 Analysis of customers on whom CDD was conducted
| Politically exposed person |
Total number of politically exposed people.
NOTE:
This is based on whether the person's 'Politically Exposed Person' status has been confirmed in the Card Details > AML section of the card.
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| Trust of vehicle for holding assets |
Total number of Trust of vehicle for holding assets.
NOTE:
This field only considers cards with the 'Card Type' set to 'Trust'.
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| Overseas Government body |
Total number of overseas Government bodies.
NOTE:
This field only considers cards with the following criteria:
- The 'Card Type' is set to 'Government Department', and
- The entered street address, in the Address section of the card, is located outside New Zealand.
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| New Zealand resident individual |
Total number of individual New Zealand residents.
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| New Zealand resident entity | Total number of resident entities in New Zealand. |
| Non-resident individual | Total number of non-resident individuals. |
| Non-resident entity | Total number of non-resident entities. |
NOTE:
- Residency status is determined by whether the entered street address—in the Address section of the card—is located within New Zealand.
- 'Entity' here refers to cards with the 'Card Type' set to either 'Business/Partnership' or 'Company'.
8.3 Most common method of CDD for new customers
| Face to face | Total number of face to face CDDs. |
| Non face to face | Total number of non face to face CDDs. |
| Domestic third party | Total number domestic third party CDDs. |
| Overseas third party | Total number of overseas third party CDDs. |
| Reliance provision | Total number of relicance provision CDDs. |
| Certificate | Total number of certificate CDDs. |
NOTE: This information is derived from your input in the Card Details > AML section (CLIENT DUE DILIGENCE) of the client card.
9.11 Cash received as part of conveyancing transactions
| Matter No. | Displays the Matter Number. |
| Client | Displays the client of the Matter. |
| Matter Description | Displays the Matter description. |
| Date | Displays the date the Matter was created. |
| Amount | Amount of cash received as part of conveyancing transactions. |
| Total cash received as part of conveyancing | Total amount of cash received as part of conveyancing transactions. |
NOTE: 9.11 considers all Conveyancing Matter Types except Mortgage as well as Purchase of Business and Sale of Business. Cash / Cheque receipts from Office, Trust and IBD on these matters are included.
9.13 Split between residential and commercial property sales
| Residential conveyancing transactions | Total amount of residential conveyancing transactions. |
| Commercial conveyancing transactions | Total amount of commercial conveyancing transactions. |
NOTE: The classification of a transaction as residential or commercial is determined by the selection of Property Type (i.e., Residential or Commercial) on the relevant matter. Users can make the selection under the Additional Details section of the 'Property' card within the matter table. See the example below.
Knowledge Base
