The guidance notes explain what information is required in the Standard form template and are to be read in conjunction with the form itself. If you are not completing the form using one of the electronic methods outlined above, the form should be completed on the computer-generated template, which is available to download from the SOCA website, but if this is not possible it should be typed onto a paper copy. A number of fields within the computer-generated template can be completed by selecting options from dropdown menus.
It is important that the relevant information is completed within the appropriate fields and not merely placed within the 'Reasons for Suspicion' field.
There are a number of fields that should be completed in order for a report to be accepted by SOCA. These fields are: Your Ref (even if none), Disclosure Type, New or Update, Source ID, Source Outlet ID, Today's Date, (Main Subject) Surname or Company Name and Reasons for Suspicion'. Following this, according to the additional information you have available, a number of fields within each section must be completed if you are filling in that section and are identified below in bold italics.
For a more detailed explanation of the template itself, please contact the SOCA SAR Team at at PO Box 8000, London, SE11 5EN.
Suspicious Activity Report
- Main subject (person or company)
- Address
- ID Information
- Disclosed account details
- Individual transactions with counterparty account details
- Associated subject (person and company)
- (Associated subject) address
- (Associated subject) ID information
- Reason for suspicion
Your ref:
The reference number or alphanumeric identifier that you allocate to the SAR within your own filing system
Sheet no:
The number of pages used to complete the SAR?
Disclosure type:
This field should contain the type of offence under which you report (i.e. Crime, Drugs or Terrorism)
Disclosure date:
The date on which the original report is made within your institution New or Update: New is any new suspicious activity or any further activity on a previously reported account/activity or arrangement. An update is any further information that is not a transaction, on a previously reported account/activity or arrangement, e.g. a new address of a subject
Existing disclosure ID:
If you have entered 'Update' in the previous field, please enter here any reference number SOCA may previously have supplied relating to the subject in question
Constructive trust:
Fill this check box if the report relates to an issue of constructive trust Further information: Fill this check box to indicate that you retain further information relating to the report that may be of interest to SOCA or another financial investigator. For example, if your disclosure relates to a mortgage application, it may not always be necessary to provide the full documentation. In this case, indicate its existence here and provide a concise description in the 'Reasons for Suspicion' field. DO NOT SEND THE FURTHER INFORMATION WITH YOUR FORM.
Source ID:
The name of your institution
Source outlet ID:
The name (or sort code) of the branch office from which the report originates
Today's date:
Date report submitted to SOCA (Automatic date field)
Back to topMain subject (person or company)
This information describes the individual (or company) on whom you wish to report.
Surname:
Subject's family name
Forenames:
Subject's forenames
Title:
Title of subject (Mr, Mrs, Dr etc)
Date of birth:
Date of birth of subject
Gender:
Gender of subject
Occupation:
Occupation of subject
Employer:
Subject's employer
Or:
Company Name:
Company name of subject
Company No:
Company registration number of subject
Type of business:
Type of business of subject
VAT no:
VAT number of subject
Country of Registration:
Country of registration of subject
Back to topAddress
Number, street, city/town, county, country.
Full address of subject
Post code:
Post Code of address of subject
Type:
Type of address of subject (i.e. home, accommodation, trading etc)
Current:
Is the address of the subject current, Yes or No
Back to topID Information
ID Information:
Describes the type of identification offered or taken (e.g. driving licence)
Unique information ID:
Give details of the identification taken (e.g. driving licence number)
Extra information / description:
Give any further information relating to the identification taken, which may be relevant or of use (e.g. if passport, the country of issue)
Other information:
Give any further details that help to identify the subject
Back to topDisclosed account details
This information describes an account with which the subject or suspicious activity is connected.
FI ID:
The name of the financial institution that holds the subject's account
Sort Code:
The sort code of the branch office that holds the subject's account
Opened:
Date account opened
Closed:
Date account closed (if applicable)
Turn' Cd:
Turnover credit
Turn' Db:
Turnover debit
Acct. Name:
Account name
Acct No:
Account number
Acct Bal:
Account balance
Bal Date:
Date of the balance
Turn Pd:
Turnover period
Back to topIndividual transactions with counterparty account details
This section contains details of the transaction, or series of transactions that have aroused your suspicion, and details of the counterparties involved.
Date:
The date of the transaction
Amount:
The amount of the transaction
Currency:
The currency concerned in the transaction (e.g. GBP, USD, DEM etc)
Cr/Db:
This field stipulates whether the transaction constitutes a credit or debit in relation to the account identified above
Type:
The type of transaction conducted (e.g. cash, cheque, electronic transfer, mortgage etc)
Notes:
This field is available for further information relating to the transaction identified above
FI ID:
The name of the institution that holds the counterparty account, if applicable
Sort Code:
The sort code of the branch office that holds the counterparty's account
Acct. Name:
The name of the counterparty
Acct. No:
The counterparty's account number
Back to topAssociated subject (person and company)
This information describes the person(s) or companies with which the subject or suspicious activity. It is a person or company that is linked to the main person/company in some direct way and is involved in the suspicious activity. Include the financial institution responsible for that account if it is involved in your suspicions.
Surname:
The associated subject's family name
Forenames:
The associated subject's forenames
Title:
Title of associated subject (Mr, Mrs, Dr etc)
Date of birth:
Date of birth of associated subject
Gender:
Gender of associated subject
Occupation:
Occupation of associated subject
Employer:
Associated subjects employer
Reason for association:
Give details of the connection between the Main Subject and associate subject
Or:
Company name:
The name of the associate company
Company no:
Company number of associated subject
Type of business:
Type of business of associated subject
VAT no:
VAT number of associated subject
Country of registration:
Country of registration of associated subject
Reason for association:
Give details of the connection between the Main Subject and associate subject
Or:
(Associated) subject already exists as main subject of a previous report and is provided for use if you have previously reported on the associated subject.
Existing disclosure ID:
The reference number which SOCA may have provided in relation to previous reports, relating to the associated subject
Your Ref:
The reference number or alphanumeric identifier that you allocated within your own file system to the previous report on the associated subject
Reason for association:
Details of the connection between the Main Subject and associate subject
Back to top(Associated subject) address
Number, street, city/town, county, country:
Full address of associated subject
Post code:
Post code of address of associated subject
Type:
Type of address of associated subject (i.e. home, accommodation, trading etc)
Current:
Is the address of the associated subject current, Yes or No
Back to top(Associated subject) ID information
ID information:
Describes the type of Identification offered or taken (e.g. driving licence)
Unique information ID:
Give details of the Identification taken (e.g. driving licence number)
Extra information/description:
Give any further information relating to the Identification taken, which may be relevant or of use (e.g. if passport, country of origin)
General information:
Give any further details that help to identify the subject
Back to topReason for suspicion
This section requires a clear and thorough explanation of the grounds for your suspicion. (Submissions that do not provide reasons for suspicion cannot be accepted as a SAR by SOCA).
For further information contact the SOCA UK Financial Intelligence Unit (UKFIU) SAR Team at PO Box 8000, London, SE11 5EN