AML documentation and business processes
Policies, risk assessment, and business processes HMRC expects
An audit tests two layers: how you run your gallery or dealership and how you handled specific sales. ProofMarked defends each deal; Platform holds the material supervisors routinely request at gallery or dealer level.
Written risk assessment, AML policies and procedures, governance around your nominated officer or MLRO, and how your business processes connect to customer due diligence in practice belong in one governed place, not scattered drives and email attachments.
Governance
How you run the gallery or dealership
Written risk assessment, AML policies, MLRO governance, and business processes.
ProofMarked
How you handled each sale
Customer due diligence, stage gates, and audit logs on the purchase record.
What supervisors ask for
When HMRC opens a supervisory intervention, their standard checklist aligns with those themes. Proofenance structures the request so you can upload or link each document type, track what is still outstanding, and show how your written controls map to what staff actually do on a sale.
- Written risk assessment and review dates
- AML policies, procedures, and staff responsibilities
- MLRO / nominated officer governance and escalation paths
From policy to practice
Documentation is only useful if it matches reality. Platform documentation sits alongside training records and investigation workspaces, so reviewers can see how your written processes connect to ProofMarked sales, stage gates, and audit logs.
- Track outstanding document requests and uploads
- Map written controls to ProofMarked touchpoints
- Support HMRC investigation packs from one workspace
How ProofMarked and Platform map to MLR 2017 expectations.
UK art market & MLR →