Diseño de sistema de administración del riesgo de lavado de activos y financiación del terrorismo para la organización Plata Ortegón Asociados

Abstract

The SARLAFT risk management system designed for Plata Ortegón Asociados is carried out in accordance with international standards on risk management, adopting as a guide the model suggested by circular 100-000006 of the Superintendence of Companies, which made known the modifications to the regulation of self-control and risk management for new economic activities that were not previously taken into account for the application of the system, thus including the companies providing legal services who are subject to surveillance and control, being obliged to adopt the SARLFAT in its activity and commercial operations thus preventing legal risks, reputations and economic affectations produced by money laundering and financing of terrorism. In the design of this SARLAFT incorporates the description of the stages that must be met to mitigate risks among which are: The identification of risk, Measurement and / or evaluation, control and monitoring. As well as the elements that will be taken into account to give functionality to the aforementioned stages: Procedures, policies and control mechanisms. As a fundamental part of the design, a risk management matrix is elaborated by process where each one of the elements and stages is integrated, allowing to identify, analyze, evaluate in a quantitative and qualitative way the inherent and residual risks, being able to control and anticipate said events with contingency plans, preventive and corrective actions for the identified risk factors.