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Compliance & AML

Identity, source of funds and ongoing compliance checks.

IM-2026-0412Ellie Hart

18 Ullet Road, Liverpool L17

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AML progress

40%

2 of 5 stages complete

In progress

Request Additional Docs

With You · 3 days

Next up

Review

Starts after Request Additional Docs

With the client

Request Additional Docs

AML stages

The 5 stages on this workstream, in the order they happen.

Stage	Task	Owner	Duration	Status
03	Initial AML ObtainedA3	You	1 day	Complete
04	Review DocumentsA4	Compliance	2 days	Complete
05	Request Additional DocsA5	You	3 days	In progress
06	ReviewA6	Compliance	2 days	Not started
07	AML SatisfiedA7	Compliance	1 day	Not started

Move aml on

You confirm what changes and what the client is told before anything moves.

Compliance & AML2/5

In progress: Request Additional Docs

Next: Review

Client conversation

Everything Ellie has been told about aml.

17 Jul 2026

Initial AML Obtained completed

21 Jul 2026

Review Documents completed

14 Aug 2026

Request Additional Docs started09:12

Sam OkoyeFri 09:12Request Additional Docs

Your ID checks are nearly closed. We are waiting on one further proof of address dated within the last three months, which your broker is arranging with you directly.