Form · AML/CTF — the practice as a reporting entity
Designated services capture map and enrolment decision record (AML/CTF Act s 6(5B), table 6)
Worksheet mapping each of the practice's matter types against the nine items in Table 6 of s 6(5B), recording whether each is captured, the activity and item it turns on, exclusions, the geographical link, and the enrolment decision.
- Kind
- Form. A form to complete, or a guide to completing an official one.
- Where it applies
- Australia
- AI use
- Yellow AI can help in set ways. A lawyer checks specific points before use.
- Law stated as at
- 17 October 2026
- Status
- Maintained. Checked against the cited sources on 17 October 2026.
- Version
- 1
- Source
- Written for this library
When to use it
Complete before deciding whether the practice must enrol with AUSTRAC, and update whenever the practice adds a matter type, service or delivery channel. It is the foundation for the risk assessment and program. It does not cover advice to clients about their own AML/CTF obligations.
How AI may be used
AI can build the first draft of the map from the practice's matter-type list and recent files, extracting the activity actually performed, but the principal decides each capture question and approves the map.
AI may
- From the matter-type list and files opened in the last 12 months, build a row for each matter type against each Table 6 item with the activity actually performed.
- Mark each row captured, not captured or unresolved, with the item number it turns on, for the principal to decide.
- List matter types where the activity is unclear from the file, for follow-up.
AI must not
- Must not decide that a matter type is outside Table 6 or within an exclusion.
- Must not rely on matter titles alone; the activity performed decides capture.
- Must not be given client files in a tool not approved for client information.
The lawyer checks
- Each "not captured" conclusion has a recorded reason tied to the Act or AUSTRAC guidance.
- Unresolved rows are resolved before any designated service is provided.
- The approval date and enrolment decision are recorded and diarised for review.
Method: how the Green, Yellow and Red levels are decided. This is guidance for planning, not legal advice.
Official form
Open the official form. Always use the current version from the issuer.
Read the full text
The full text is for signed-in accounts. It is free. When you sign in you can:
- read the whole precedent, with its drafting notes beside it;
- copy it, or download it as a Word file or Markdown;
- add it to your firm’s knowledge base, so colleagues can find it;
- let the AI tools you connect read it from that knowledge base.
The summary, the law it rests on and the AI-use guidance above stay public. Privacy.
More in AML/CTF — the practice as a reporting entity
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- Initial customer due diligence checklist for law practice designated services
- AI and automated tools in the AML/CTF program: control standard
- Suspicious matter escalation, reporting and legal professional privilege procedure
- Client letter: why we need to verify your identity (AML/CTF obligations)
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