COAF Suspicious Activity Report
Suspicious activity detection and reporting under COAF/PLDFT obligations for investment advisors and insurance distributors: trigger documentation, evidence collection, internal analysis, Compliance Officer review, SISCOAF submission, and 5-year file retention. Built for operations teams, structured execution with approval gates and an audit trail.
For: Assessor de Investimentos, Compliance Officer, and Diretor Estatutário PLDFT teams running coaf suspicious activity report
What this template includes
Process steps
- 1Trigger registration and initial description
- 2Evidence collection (transactions, documents, client history)
- 3Client risk re-assessment
- 4Internal analysis and parecer drafting
- 5Checkpoint 1, Compliance Officer decision (report or not)
- 6SISCOAF submission
- 7Protocol number and confirmation archival
- 8Checkpoint 2, Executive notification (Diretor estatutário)
- 95-year file retention and review schedule
Why teams use this template
Suspicious activity detection and reporting under COAF/PLDFT obligations for investment advisors and insurance distributors: trigger documentation, evidence collection, internal analysis, Compliance Officer review, SISCOAF submission, and 5-year file retention. When this work runs through inboxes and ad-hoc spreadsheets, ownership gets fuzzy and evidence gets lost. COAF Suspicious Activity Report gives you a 9-step process with 2 checkpoints and a built-in SLA so nothing slips between handoffs.
Built for teams led by Assessor de Investimentos, Compliance Officer, and Diretor Estatutário PLDFT: every task has a named owner, every approval routes to a real role, and the run history is the audit trail your auditors actually want.
The checkpoint tasks ("Checkpoint 1, Compliance Officer decision (report or not)" and "Checkpoint 2, Executive notification (Diretor estatutário)") cannot be skipped, they're where the run produces evidence the next stage depends on. Overdue runs escalate automatically, and you start with structure instead of building it from scratch every time.
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