13.6.1. Oversight responsibility

A Relevant Person must ensure that its MLRO implements and has oversight of, and is responsible for, the following matters:

1. (a) the day-to-day operations for compliance by the Relevant Person with its AML policies, procedures, systems and controls;
2. (b) acting as the point of contact to receive notifications from the Relevant Person’s employees under AML 13.7.3;
3. (c) taking appropriate action under AML 13.8.1 following the receipt of a notification from an employee;
4. (d) ensuring that the STRs and TTRs are sent to the FIU in accordance with applicable Kazakhstan law;
5. (e) acting as the point of contact within the Relevant Person for the AFSA, and any other competent authority regarding money laundering issues;
6. (f) responding promptly to any request for information made by the AFSA, and any other competent authority;
7. (g) receiving and acting upon any relevant findings, recommendations, guidance, directives, resolutions, sanctions, notices or other conclusions described in Chapter 12; and
8. (h) establishing and maintaining an appropriate money laundering training programme and adequate awareness arrangements under Chapter 14;
9. (i) preparing conclusions based on the results of CDD and make decisions on the possibility of establishing relations with the client, except in cases stipulated by AML 6.3.3. (b).