martes, 19 de mayo de 2026

Prioritizing supervisory activities

Factors in determining the prioritization, planning, and allocation of resources for supervisory activities:

  1. Level of inherent risk in combination with information on the effectiveness of internal controls.
  2. Institutional complexity. More complex institutions generally may pose higher ML/TF/PF risks and may require more extensive supervisory efforts.
  3. Reputation. The institution’s record of effective risk mitigation and compliance.
  4. Intelligence or information received from other authorities.