Tools / Conflict + KYC + AML
One intake. Three checks. Audit-trailed.
Conflict check against your firm’s matter ledger, KYC capture for the new client, and AML/CFT sanctions + PEP screening — all from a single onboarding intake. NZ AML/CFT Act 2009. AU AML/CTF Act 2006. UK MLR 2017. US BSA. Hash-chained AuditLog row per check.
Four conflict checks. Run on every new matter.
Same-party conflict
Has the firm acted for this counterparty before? Marco scans the firm's matter ledger for direct prior representation and surfaces the prior matter for review.
Adverse-party conflict
Is this party currently or recently adverse to an existing client? Marco compares against open matters and the recent closed-matter window per Lawyers Conduct and Client Care Rules.
Director / shareholder overlap
Common directors, ultimate beneficial owners, or controlling shareholders surfaced via NZBN / ASIC / Companies House lookups. Catches the conflicts that party-name searches miss.
Information barrier integrity
If the firm has Chinese-wall arrangements in place, Marco flags whether the new matter respects them or breaches them.
Sanctions + PEP lists screened.
Every named party + beneficial owner is screened against these lists at intake and continuously thereafter. Hits open an AmlAssessment review task automatically.
UN Consolidated Sanctions List
Global — UN Security Council resolutions
Daily refresh
OFAC SDN + non-SDN lists (US)
US Treasury Specially Designated Nationals + sectoral
Real-time on update
EU Consolidated Sanctions List
EU Council financial restrictions
Daily refresh
MFAT Sanctions Register (NZ)
NZ-imposed sanctions per the United Nations Act 1946
Daily refresh
DFAT Consolidated List (AU)
AU Autonomous Sanctions Regulations 2011
Daily refresh
OFSI Consolidated List (UK)
UK financial sanctions
Daily refresh
PEP database (politically-exposed persons)
Heads of state, ministers, senior judges, military, SOEs
Continuous monitoring
Adverse media (negative-news search)
Indexed news + court filings flagging fraud, sanctions, terror, financial crime
Continuous
Regimes covered.
Marco Reid runs the regime that applies to your firm’s jurisdiction; if you act cross-border, all four run in parallel.
NZ AML/CFT Act 2009
Reporting entities (lawyers, conveyancers, accountants, TCSPs) covered. Standard / simplified / enhanced CDD per matter risk. SAR filings to NZ FIU; annual report to DIA / FMA.
AU AML/CTF Act 2006
Designated services covered. AUSTRAC reporting (SMR, IFTI, threshold transaction). Enhanced CDD for foreign politically exposed persons mandatory.
UK MLR 2017 + Proceeds of Crime Act 2002
Money Laundering Regulations 2017 + POCA 2002. NCA reporting via SAR Online. Beneficial ownership disclosure to PSC register.
US BSA + FinCEN BOI
Bank Secrecy Act, Beneficial Ownership Information rule (Corporate Transparency Act 2021). SAR filings via BSA E-Filing.
Sanctions + PEP screening is informational support, not compliance certification. Each firm is responsible for its own AML/CFT compliance programme. Marco Reid makes the programme tractable + auditable; it does not replace the compliance officer.