Other BSA Reports 10. The finalized questionnaire (see attachment) comprises 21 questions on primary and secondary AML/CFT legislation, the institutions involved in AML/CFT efforts, and major prudential supervisory requirements in this area, such as customer due diligence and the establishment of systems for internal control, record keeping, and reporting of unusual transactions. A. AML-KYC Policy. Anti-Money Laundering and Anti-Terrorist Financing Questionnaire. Changes to the AML Template Updated July 18, 2018. Aktif Bank Patriot Act. 6. Fenergo today released its findings on financial institution fines which shows that in December 2019 global penalties totaled $36 billion for non-compliance with Anti-Money laundering (AML… Are there specific laws in your country on Money Laundering Prevention: Money Laundering Act, German Banking Act 2. FATCA GIIN . Location: 70-72 Avenue Habib BOURGUIBA 1002 Tunis, TUNISIA. Anti-Money Laundering and Anti-Terrorist Financing Questionnaire. During the Quiz End of Quiz ... and regulation support the fight on AML/CFT in Nigeria A. <>/XObject<>/Font<>/ProcSet[/PDF/Text/ImageB/ImageC/ImageI] >>/MediaBox[ 0 0 595.56 842.04] /Contents 4 0 R/Group<>/Tabs/S/StructParents 0>> Financial Institution Name: Account No. General Information: Información General: 1. +�U�)�4na �&�4�9�;Ys��a�$J���T����Le�ZG;�� m����jW����V�L�ںٷw?oH�̕"�B�E��CU��6���d�B�tG��x^����;V�U|U)�� ��> ���z������_�7�RT��̊y�U�i|��'X'��4 �A5�������t��vz�K����V�_�f�(��� ��DY7�4n�e+��nkT��˨)ulRށ9ƫ�G��� ��l_Yd���"�U4!Aᘌ(�:�Os;�7D� Contacts. For Financial Institutions. SSI List. C. BOFIA 2004. Central Bank of Nigeria AML/CFT regulations . Y N 3. It includes questions on your customer due diligence procedures and … %PDF-1.5 The questionnaire was broken down into two main sections. Anti Money Laundering Questionnaire Cuestionario de Prevención Lavado de Dinero Financial Institution Name: Nombre Institución Financiera: Banco Estado Chile Location: Ubicación: Santiago, Chile Date: Fecha: January 01st, 2018 I. General AML Policies, Practices and Procedures: 1. Legal form of the financial institution: 4. QUESTIONS RELATED TO YOUR INSTITUTION´S AML POLICIES AND PRACTICES 5. : License No. Financial Institution Name: Banque Internationale Arabe de Tunisie. List of shareholders who own more than 5% of shares of the Institution – AML Questionnaire I. 2. Corporate Information: 1. Reputational Risk: AML incidents put a financial institution’s reputation on the line. Suspicious Activity Monitoring and Reporting 9. The template has been updated to reflect member firms’ obligations under FINRA Rule 3310 in light of the Financial Crimes Enforcement Network’s (FinCEN) final rule on Customer Due Diligence Requirements for Financial Institutions (CDD Rule). * Money Throughput is only applicable to Payment Institutions (PIs). In the financial sector, the supervisors have generally identified the main high risks. Customer Due Diligence (CDD) Questionnaire Please provide answers on the questions below concerning your institution, current practices related to AML and sanctions identification, transaction monitoring and reporting of suspicious transactions. Anti-Money Laundering and Due Diligence Questionnaire (FILLED IN FOR OUR CORRESPONDENT BANKS/ EXCHANGE COMPANIES DEALING WITH ALLIED BANK LIMITED) Section I – General Information Institution information: Legal Name of Institution: Allied Bank Limited Registered Address: 3 Tipu Block, Main Boulevard, New Garden Town, Lahore, Pakistan Postal Address: Same as above Official Website … Your cooperation in completing this questionnaire is greatly appreciated. The first section focuses on reaction and resilience: responding to the crisis and managing through uncertainty. Questionnaire Anti-Money Laundering ... INFORMATION ABOUT FINANCIAL INSTITUTION 2.1 AML / CTF 2.1.1 POLICIES AND PROCEDURES 1. Financial Institutions. News from Us. Calling Midsize Financial Institutions: BSA/AML/OFAC ... KYC & AML Procedures for Financial Institutions | LeapRate. Correspondent Account Anti Money Laundering Questionnaire 1. Is your AML compliance program approved by your institution’s board or a senior committee? For Reporting Institutions. W-8-BEN-E-Form. Anti-Money Laundering Questionnaire For Regulated Financial Institutions Year 2017 A Corporate Information 1. Legal form of the financial institution: Joint Stock Company 4. The Bank Secrecy Act 2. No . Through this questionnaire, the NBB seeks to obtain standardised information from the financial institutions in order to implement its risk-based approach in exercising its legal supervisory powers in the field of AML/CFT (see the page “Supervisory powers and measures available to the NBB”). Financial Statements –Year End (Q5). Governance Records of Funds Transfers 11. [ ] YES [ ] NO If yes, please list the names of all owners in thetable below and their respective interests (%) in the Institution. Yes No 2. Financial Institutions are encouraged to rely on this website posting as opposed to requesting individual certification. @P� Ҋ~�4'ax�sH1�#�ot�D5���Q��!��k�����H ȋ�1m=Au���h#>�#�;����5�fy�lB@6D�>e`CIZ� ���P�a��Q��xYg���Hs}�9�i�怍�l]É&hH]�b�1��tΦp��W��+A�A �v쬕Gy6�-�?���"6�. Questions. Financial Institution ("FI") Name: Address of Principal Location: Has your institution appointed a senior officer responsible for its Anti-Money Yes . 4 0 obj Anti-Money Laundering and Counter Financing of Terrorism (AML/CFT) Questionnaire NAME OF FINANCIAL INSTITUTION: PUBLIC BANK GROUP (PBB) LOCATION: KUALA LUMPUR, MALAYSIA Below is the information of Public Bank Group regarding its AML/CFT policies, practices and procedures. <>>> AML Programs 4. Money Laundering Prohibition Act,2011 . I. 46/16), Sparkasse bank dd BiH is obliged to carry out risk based due diligence procedures on its clients. AML Analytics delivers testing and validation solutions for sanction screening and transaction monitoring technologies so that financial institutions can mitigate the risk of exposure to financial crime. Investor Relations. endobj Has your institution implemented written policies and procedures on KYC? Is the AML compliance program approved by either the FI’s board or a senior committee? Financial Highlights. PREVENTION OF MONEY LAUNDERING QUESTIONNAIRE / FINANCIAL INSTITUTIONS A BENEFICIAL OWNER DECLARATION DÉCLARATION SUR LE(S) BÉNÉFICIAIRE(S) EFFECTIF(S) : The institutions covered by the October 26th 2005 Directive 2005/60 should, in conformity with this Directive, identify and verify the identity of the beneficial owner. Firms must comply with the Bank Secrecy Act and its implementing regulations ("AML rules"). The following topics are addressed in this guide: 1. Is the AML compliance program approved by the FI‟s board or a senior committee? General AML Policies, Practices and Procedures: Yes No 1. Name of the Institution: Nombre de la Institución: Banco Estado Chile. ANTI-MONEY LAUNDERING . Please note that the questionnaire must be completed and signed by an authorized individual (e.g. KNOW YOUR CUSTOMER (KYC) QUESTIONNAIRE . Yes No 2. I. BIOGRAPHICAL INFORMATION . Wolfsberg published its first Correspondent Banking principles in 2002, followed by its first anti-money laundering (AML) Questionnaire in 2004, which was comprised of 27 questions. To date, there is little implementation of controls by the BNB based on ML/TF risk. I. Name of Regulator . Correspondent Accounts: Prohibition on Foreign Shell Banks and Due Diligence Programs 7. <> Yes ☐ No ☐ 2. 2 0 obj Does this program apply to all of the FI’s domestic and foreign branches and … AML-KYC Questionnaire. Audit Reports. Swift code 1.7. 1.0 AML/CFT Policies, Practices and Procedures 1.1 Is the AML/CFT Compliance Programme approved by … KYC and Anti-Money Laundering Questionnaire for Financial Institutions I. 1.0 AML/CFT Policies, Practices and Procedures 1.1 Is the AML/CFT Compliance Programme approved by … Legal form ada 1.3. Does your institution appoint a senior officer responsible for your Anti-Money Laundering Questionnaire January 2015 5 2) Content of the AML CTF procedures Yes No Does your AML – CTF procedures include: - Minimum supporting KYC Documentation to be obtained ☐ ☐ This letter of comfort is intended to demonstrate that the various RBC business units are guided by enterprise-wide anti-money laundering and related policies in setting their own RBC policies and procedures. Legal name of the financial institution: JSC ProCredit Bank 2. Any ‘€’ and ‘k’ symbols should be omitted when keying in this data and only digits should be input. <>>> Appendix A - Anti-Money Laundering Questionnaire Each National Futures Association (“NFA”) futures commission merchant (FCM) and introducing broker (IB) Member firm must adopt a written anti-money laundering (“AML”) program tailored to its operations. Information of license (type, number, date of issue and name of issuing authority) Please provide copy 1.8. KCB AML Questionnaire v2:05/15 Page 2 of 10 . Shareholder Structure . Anti Money Laundering Questionnaire & Know Your Customer Questionnaire . 46/16), Sparkasse bank dd BiH is obliged to carry out risk based due diligence procedures on its clients. Official website 1.6. Anti-Money Laundering and Counter Financing of Terrorism (AML/CFT) Questionnaire NAME OF FINANCIAL INSTITUTION: PUBLIC BANK GROUP (PBB) LOCATION: KUALA LUMPUR, MALAYSIA Below is the information of Public Bank Group regarding its AML/CFT policies, practices and procedures. The USA PATRIOT Act 3. General Information about the Financial Institution . The AML/CFT Questionnaire gives the FSC information on your AML/CFT program and your identification, mitigation and management of the money laundering and terrorism financing risk to your business or organisation. �h�[�A� �64,Й�@l,���^��B����k�k�Z�����2ܯf���@�Ԯ�T 0�+u]p���k�� ��1�!�\7�������A;"ZA�.��X�a�����4�b���)�k\]h�:�k�_4�4Xio=q����Ț����?��٬=7L��`�韹� ����0�3t�W ����I�3��a��7`Tk�� �Q��uX $�V� gup�� �mBG�H����6��j��J� C�hQd�朕� General AML Policies, Practices and Procedures 1. The main purpose of the 2004 DDQ was to “act as an aid to FIs conducting … Shareholder Structure. endobj x��]�7��n��C}ٍ4p��W�jda;��g�#����=�>����n9����Œ�T��,AڪW���;y�:|W}�����G?V�?T�~|^�zo����Ջ���E-���6���Ǐ���V�ԋZWWH���Z论BcR A.jG��U���f��/��Yt�P/T*��5�n��P@hmOh� tG�H���`ݎ� �D��a �_���ثVH���@��D�f�vѸ� †:k�`��J`G�;��A�s�⫈a�X4̀ }3Dp��Bu1�m�Кm�[�� _? Your Institution’s Information 1. AML-KYC Policy. FINRA reviews a firm’s compliance with AML rules under FINRA Rule … A. All financial figures should be reported in Euro thousands (€’000) for example €325,652 should be stated as 326. W-8-BEN-E-Form. General Information: Full Name of Financial Institution JSC TBC Bank Legal Form Joint Stock Company Registration Number 5/5-20 Date of Registration 04.01.1996 Swift, BIC TBCBGE22 Tax Identification Number 204854595 License Type Banking b/�*L�U���_�c. Country Government Institution Name of Law II. The template has been updated to reflect member firms’ obligations under FINRA Rule 3310 in light of the Financial Crimes Enforcement Network’s (FinCEN) final rule on Customer Due Diligence Requirements for Financial Institutions … Date of establishment: 5. : Website . Kazbegi Ave. Tbilisi, Georgia 3. If the answer is yes, please proceed to question 4 Yes No 3. Rising Costs: Most AML compliance activities require significant manual effort, making them inefficient and difficult to scale. Registered address (Head Office): KCB AML Questionnaire v2:05/15 Page 3 of 10 . Financial institutions. Swift Code . Legal address 1.4. AML operates on a broader level: they are the measures institutions take to prevent and combat money laundering, terrorism financing and other financial crimes. AML/KYC Questionnaire; Financial Information. <>/ExtGState<>/XObject<>/ProcSet[/PDF/Text/ImageB/ImageC/ImageI] >>/MediaBox[ 0 0 595.32 841.92] /Contents 4 0 R/Group<>/Tabs/S/StructParents 0>> Legal address of the financial institution: 3. Legal name of the financial institution: 2. Investor Relations . Does the FI have an AML-CTF compliance program? 2 0 obj endobj MoneyLaundering.com :: Changes in Bank Regulations ... Overview of BSA/AML, OFAC Regulations, … :���GՋ�ϫ*x�~���,h�3B���Ύ�L��ǝV.,t(�1�ӣ}O��o�)�0���?���hQ��4� ����j����~��~�Kyt ��:/�� `ٮq4�®!��7�*�,�@���B鈀�§��.����. It is Union Bank UK Plc’s policy to obtain information from all our correspondents relative to their anti-money laundering/anti-terrorism controls. Recognitions. KYC QUESTIONNAIRE FOR FINANCIAL INSTITUTIONS According to the Law on the Prevention of Money Laundering and Financing of Terrorist Activities (Official Gazette of Bosnia and Herzegovina, No. Institution Information Financial Institution Name Country Jurisdiction Regulatory Authority Anti Money Laundering (AML) Controls and Assessment I. General Information: Full Name of Financial Institution JSC TBC Bank Legal Form Joint Stock Company Registration Number 5/5-20 Date of Registration 04.01.1996 Swift, BIC TBCBGE22 Tax Identification Number 204854595 License Type Banking License Number N 85 Country of Licensing Authority and Regulator Georgia License … About Çalık Group. Understanding of . 46/16), Sparkasse bank dd BiH is obliged to carry out risk based due diligence procedures on its clients. About Us. Country of . Settings. Legal name of the financial institution: 2. endobj AML/CFT obligations imposed on Reporting institutions are stipulated under Part IV of the AMLA and provided in the AML/CFT Policies. The questionnaire concentrates on the overall legal framework for AML/CFT, the allocation of responsibilities among the government institutions involved, the role of financial sector supervisory agencies, and the relevant requirements placed on banks and other financial sector institutions and service providers. Financial Institution Name: Lombard Forte Securities Limited Location: DIFC Currency House, Level 2, Office 201, P.O. Legal address of the financial institution: 21 Al. ڝ4��^+�4���p�5���g��0�����s�m����j�����s��kN�l=�R��TUBhAf;z ~z�K���ǖ�����'��_�CZ�#�\݌ bEA�uռ �VD��Fk��ZeɡyrV����U�u���q�+qs�ZaY���L Z��b��%��4�e_o ��Y{�}>~|���W���� �~x�?~��o�ܪ�!�z���A2D�Ys߬�#��E�����m-tc�YSw�~���-��`J�L�ig��Wo��b Financial Highlights. Date Completed: … General AML Policies, Practices and Procedures: YES NO 1. AML-KYC Questionnaire. Corporate Management. Scroll. your institution’s Anti-Money Laundering and Anti-Terrorist Financing policies and procedures . AML regulation: Beyond the 5th AMLD | Refinitiv Perspectives. endobj Is your institution taking steps to implement written KYC policies? This guideline provides reporting entities with a series of questions, supervisory expectation, reference material and suggested best practice that will help guide their risk assessment and programme. Anti-Money Laundering Questionnaire For Regulated Financial Institutions Year 2017 A Corporate Information 1. GLOBAL BENCHMARK. 7. Date of establishment: 13.05.1999 5. SSI List. The RDBA provides this training and test through our secure members website to all of our broker and affiliate members on an annual basis. Anti-Money Laundering Questionnaire If you answer “no” to any question, additional information can be supplied at the end of the questionnaire. The purpose of the Anti-Money Laundering (AML) rules is to help detect and report suspicious activity including the predicate offenses to money laundering and terrorist financing, such as securities fraud and market manipulation. Full name of institution 1.2. Due Diligence Programs for Private Banking Accounts 8. Contacts. Tel No: Fax No. Financial Institution ("FI") Name: Address of Principal Location: Has your institution appointed a senior officer responsible for its Anti-Money Yes . Beneficial Ownership and Customer Due Diligence (“CDD”) 6. 4 0 obj I. Aktif Bank Patriot Act. would send the completed AML Questionnaire by swift to CBHKHKHH or via email to ficom@publicbank.com.hk or by fax to (852) 2543-4849 or by mail to Public Bank (Hong Kong) Limited, Public Bank Centre, 120 Des Voeux Road Central, Hong Kong, Attention: Financial Institutions Department. : Anti-Money Laundering Questionnaire If you answer “NO” to any question, an explanation must be supplied at the end of the questionnaire. The Notice poses 11 questions for the public regarding FinCEN’s interest in new regulations requiring financial institutions to adopt "effective and reasonably designed" AML programs. I. NFA has developed the following questionnaire to assist firms in meeting that requirement. Legal address of the financial institution: 3. *� J�m� ���z0�j�Œ=��U �փa➠`;;�ǭ#��Z>>n)�m��pZמ9Ċ ���֊8n�J���~\���.ʹ�Y�v����m�$�EY��p`�% � ��f;����޿�QW� 7����.N)�w���5��f��K���� ������0\��l �z����ZS��7�9�S7dx� ��=�v�]�-�t1��:|E���8�p�C�5n�kT���%�Pt"��6~��oI|�$�/����g!Ck�T��!���[��=�fB����`AI��,��� �m 46f�a1ǁ��:��t� -' Financial Institutions. 2. 1 0 obj KYC QUESTIONNAIRE FOR FINANCIAL INSTITUTIONS According to the Law on the Prevention of Money Laundering and Financing of Terrorist Activities (Official Gazette of Bosnia and Herzegovina, No. Annual Report. : Email: … Anti-Money Laundering Questionnaire If you answer “no” to any question, additional information can be supplied at the end of the questionnaire. Rating Reports. B. <> Legal form of the financial institution: 4. AML / KYC QUESTIONNAIRE This is an authorized certification of the Financial Institution named below in response to your questionnaire in connection with correspondent banking transactions or relationship between both our institutions. The FATF wants to explore the use of emerging technologies to share/pool/exchange information amongst financial institutions for AML/CFT purposes, while maintaining a high level of data privacy and protection. If the answer is no, please explain why not. Financial Institutions. 3 0 obj %���� The Notice does not propose any new rules. Add additional rows, if necessary. The AML/CFT questionnaire provides an overview of Maybank and its subsidiaries Anti-Money Laundering and Counter Financing of Terrorism (AML/CFT) policies and practices compliant with relevant laws and Bank Negara Malaysia (Central Bank of Malaysia) guidelines, as well as its due diligence requirements associated with the provision of correspondent banking services in conducting … Does your institution have a written policy, controls and procedures reasonably designed to prevent and detect money laundering/terrorist financing activities? Banks use AML … <> Does your institution have a … Does the AML compliance program require approval of the Financial Institution’s (FI’s) Board or a senior committee thereof? Delegations and experts are invited to provide responses to this questionnaire to the FATF Secretariat by COB 7 December 2020. S reputation on the line and regulation support the fight on AML/CFT in Nigeria a procedures! 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