During the Quiz End of Quiz ... and regulation support the fight on AML/CFT in Nigeria A. QUESTIONS RELATED TO YOUR INSTITUTION´S AML POLICIES AND PRACTICES 5. 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 Changes to the AML Template Updated July 18, 2018. AML-KYC Questionnaire. Under the Proceeds of Crime (Money Laundering) and Terrorist Financing Act (PCMLTFA) and FINTRAC guidelines, Financial Institutions in Canada are required to ensure that their brokers and agents complete Anti-Money Laundering (AML) training. FATCA GIIN . <> Tel No: Fax No. Legal form of the financial institution: Joint Stock Company 4. Institution Information Financial Institution Name Country Jurisdiction Regulatory Authority Anti Money Laundering (AML) Controls and Assessment I. Financial Statements –Year End (Q5). Audit Reports. In fact, the average value of each of the top 10 bank brands is $45 billion. %PDF-1.5 Kazbegi Ave. Tbilisi, Georgia 3. 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 … Legal form of the financial institution: 4. The Questionnaire requires an explanation when a “No” response is chosen (this does not imply that 1 0 obj Legal address of the financial institution: 3. Forty-three financial institutions answered a series of 30 questions online between 3 and 17 June 2020. Anti-Money Laundering and Anti-Terrorist Financing Questionnaire. General AML Policies, Practices and Procedures: Yes No 1. Contacts. Yes No 6. Is the AML compliance program approved by either the FI’s board or a senior committee? Date of establishment: 5. Country Government Institution Name of Law II. Anti-Money Laundering Questionnaire For Regulated Financial Institutions 2016 A Corporate Information 1. In the financial sector, the supervisors have generally identified the main high risks. <> 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). Contacts. <>/XObject<>/Font<>/ProcSet[/PDF/Text/ImageB/ImageC/ImageI] >>/MediaBox[ 0 0 595.56 842.04] /Contents 4 0 R/Group<>/Tabs/S/StructParents 0>> Anti-Money Laundering Questionnaire If you answer “no” to any question, additional information can be supplied at the end of the questionnaire. Financial Institution Name: Lombard Forte Securities Limited Location: DIFC Currency House, Level 2, Office 201, P.O. Correspondent Account Anti Money Laundering Questionnaire 1. Is your financial institution’s AML compliance program approved by your board or a senior committee? @ې����f�E�uˠt�F AML-KYC Questionnaire. Swift Code . The Bank Secrecy Act 2. Questionnaire Anti-Money Laundering ... INFORMATION ABOUT FINANCIAL INSTITUTION 2.1 AML / CTF 2.1.1 POLICIES AND PROCEDURES 1. SSI List. Beneficial Ownership and Customer Due Diligence (“CDD”) 6. For Financial Institutions. Phone and fax numbers 1.5. Name of Institution Completing Questionnaire: EAST WEST BANK 2. Financial Institutions. Investor Relations . @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�. 46/16), Sparkasse bank dd BiH is obliged to carry out risk based due diligence procedures on its clients. Yes No 2. The RDBA provides this training and test through our secure members website to all of our broker and affiliate members on an annual basis. The main purpose of the 2004 DDQ was to “act as an aid to FIs conducting … List of shareholders who own more than 5% of shares of the Institution – AML Questionnaire I. Name of Regulator . Wolfsberg AML Questionnaire. Questions. Reputational Risk: AML incidents put a financial institution’s reputation on the line. Financial Institutions. AML operates on a broader level: they are the measures institutions take to prevent and combat money laundering, terrorism financing and other financial crimes. SSI List. General AML Policies, Practices and Procedures: 1. Please note that the questionnaire must be completed and signed by an authorized individual (e.g. Wolfsberg AML Questionnaire. AML Questionnaire 1 KYC and Anti-Money Laundering Questionnaire for Financial Institutions I. About Us. Aktif Bank Patriot Act. 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… Recognitions. AML-KYC Policy. Bank of Commerce AML Questionnaire Page 2 of 5 2. 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. Does your institution appoint a senior officer responsible for your x��][���~7��ЏR��i�I6�Xl��l�� �� v� �hf�5��A���a���Ŧ���XdU/�U�Ⱦ��xzz�ݝ�/����t������~�}���o?���e��t؝���{yw�������_}U}�ݷտ_�j��Iّ����uK+�H�huܿ~���U�ׯ�y������"�z����6�8�5�:A�z�A���o]��I�Z=�o�}���W?o���������y���A�����Wm[�n���ϟse�����x�ZA.Ϊ��Z�Մ��jJ�Ō endobj stream 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. 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. A. The first section focuses on reaction and resilience: responding to the crisis and managing through uncertainty. �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� Calling Midsize Financial Institutions: BSA/AML/OFAC ... KYC & AML Procedures for Financial Institutions | LeapRate. A. 7. 2 0 obj Full name of institution 1.2. 2. No . General Information about the Financial Institution . I. BIOGRAPHICAL INFORMATION . Due Diligence Programs for Private Banking Accounts 8. Yes No 6. Anti-Money Laundering and Anti-Terrorist Financing Questionnaire. Any ‘€’ and ‘k’ symbols should be omitted when keying in this data and only digits should be input. Financial Institutions are encouraged to rely on this website posting as opposed to requesting individual certification. MoneyLaundering.com :: Changes in Bank Regulations ... Overview of BSA/AML, OFAC Regulations, … 2. Yes No 2. KNOW YOUR CUSTOMER (KYC) QUESTIONNAIRE . 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. Country of . ANTI-MONEY LAUNDERING . Your Institution’s Information 1. Does your company maintain physical presence at your legal address? On the 1st January 2009, those Regulations were superseded by the Proceeds of Crime (Anti-Money Laundering and Anti-Terrorist Financing) Regulations 2008. : Anti-Money Laundering Questionnaire If you answer “NO” to any question, an explanation must be supplied at the end of the questionnaire. Aktif Bank Patriot Act. AML & KYC QUESTIONNAIRE FOR FINANCIAL INSTITUTIONS SECTION 1 - GENERAL INFORMATION 1.1. AML/CFT obligations imposed on Reporting institutions are stipulated under Part IV of the AMLA and provided in the AML/CFT Policies. your institution’s Anti-Money Laundering and Anti-Terrorist Financing policies and procedures . Does this program apply to all of the FI’s domestic and foreign branches and … 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. D. All of the above. Understanding of . Financial institutions have been hit with $10.4 billion in global fines and penalties related to anti-money laundering (AML), know your customer (KYC), data privacy, and MiFID (Markets in Financial Instruments Directive) regulations in 2020, bringing the total to $46.4 billion for those types of breaches since 2008. 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. Settings. General Information: Información General: 1. 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�[�� _? 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. To date, there is little implementation of controls by the BNB based on ML/TF risk. Firms must comply with the Bank Secrecy Act and its implementing regulations ("AML rules"). Financial Highlights. Rising Costs: Most AML compliance activities require significant manual effort, making them inefficient and difficult to scale. I. stream Full legal name: :���GՋ�ϫ*x�~���,h�3B���Ύ�L��ǝV.,t(�1�ӣ}O��o�)�0���?���hQ��4� ����j����~��~�Kyt ��:/�� `ٮq4�®!��7�*�,�@���B鈀�§��.����. 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. Financial Institution ("FI") Name: Address of Principal Location: Has your institution appointed a senior officer responsible for its Anti-Money Yes . Legal address of the financial institution: 3. AML CTF Questionnaire This questionnaire is required to be filled out by any/all of the following: Non-Banking Financial Institutions Correspondent Banks Currency Exchange Companies Money Transfer Operators Money Services Business Institution Details Your Reply Name of Bank Registered Name Registered Address Mailing / Street Address Web Address Jurisdiction under which incorporated … Y e s 2. Financial Institutions. 6. Corporate Management. 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. %PDF-1.5 Rating Reports. <> 1.0 AML/CFT Policies, Practices and Procedures 1.1 Is the AML/CFT Compliance Programme approved by … Date of establishment: 5. Registered address (Head Office): KCB AML Questionnaire v2:05/15 Page 3 of 10 . 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. Corporate Information: 1. W-8-BEN-E-Form. 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. [ ] YES [ ] NO If yes, please list the names of all owners in thetable below and their respective interests (%) in the Institution. Legal address 1.4. 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”). Feedback . Is the AML compliance program approved by the FI‟s board or a senior committee? Anti-Money Laundering Questionnaire I. KCB AML Questionnaire v2:05/15 Page 2 of 10 . Is your institution taking steps to implement written KYC policies? Annual Report. Legal name of the financial institution: 2. B. Does your institution have a … 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 … 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. ͅ_��f�J̸$u��WHmW���P0{��g픜PRn��E���?Q���j�;X��|�=�U��se[�q�7Tӛ��l Ae ����ՌW�փLsk�Q��w��)�ߌv����Y�G��ۧzdi�I�NǠ�Ï�V��_�����益�4�XgR�D:י��X^+1�t������\����ES+�R�Z*�����hÌ%�������ި��-!Z�7����a{#7�Ot���M�y��ް�ֈ��|04;��_]h����s��8@dSZ )�&\v�>n٦� ��|y 4 0 obj Anti-Money Laundering Questionnaire For Regulated Financial Institutions Year 2017 A Corporate Information 1. Location: 70-72 Avenue Habib BOURGUIBA 1002 Tunis, TUNISIA. Swift code 1.7. %���� 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. Customer Identification Programs 5. It includes questions on your customer due diligence procedures and … General Information about the Financial Institution . 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. Governance 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. Central Bank of Nigeria AML/CFT regulations . About Çalık Group. 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. 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 … <> W-8-BEN-E-Form. Has your institution implemented written policies and procedures on KYC? Name of the Institution: Nombre de la Institución: Banco Estado Chile. endobj 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. RBC Financial Global Approach to Anti-Money Laundering . NFA has developed the following questionnaire to assist firms in meeting that requirement. Y N 3. Other BSA Reports 10. Shareholder Structure . EkoLig. If the answer is no, please explain why not. AML/KYC Questionnaire; Financial Information. <>>> Rating Reports. Add additional rows, if necessary. General AML Policies, Practices and Procedures 1. 1 0 obj I. Investor Relations. AML Programs 4. %���� 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. All financial figures should be reported in Euro thousands (€’000) for example €325,652 should be stated as 326. AML regulation: Beyond the 5th AMLD | Refinitiv Perspectives. the risks is not, however, sufficiently ongoing, due to the insufficiency of the controls carried out, and especially on-site inspections. Delegations and experts are invited to provide responses to this questionnaire to the FATF Secretariat by COB 7 December 2020. Does your institution have a written policy, controls and procedures reasonably designed to prevent and detect money laundering/terrorist financing activities? No . Legal address of the financial institution: 21 Al. Financial Institution ("FI") Name: Address of Principal Location: Has your institution appointed a senior officer responsible for its Anti-Money Yes . �tEq2�N� �aC�s$tl9�C�xCa�������ƛ ? Anti-Money Laundering Questionnaire For Regulated Financial Institutions Year 2017 A Corporate Information 1. Does your company maintain physical presence at your legal address? 3 0 obj Financial Highlights. These Regulations impose a significantly detailed set of obligations on affected AML/ATF regulated financial institutions relating to customer due diligence, record keeping, systems and staff training. Date Completed: … I. If the answer is yes, please proceed to question 4 Yes No 3. Institution Name: Registration No. * Money Throughput is only applicable to Payment Institutions (PIs). I. Financial Institution Name: Banque Internationale Arabe de Tunisie. Scroll. For Reporting Institutions. Correspondent Accounts: Prohibition on Foreign Shell Banks and Due Diligence Programs 7. endobj Official website 1.6. It is Union Bank UK Plc’s policy to obtain information from all our correspondents relative to their anti-money laundering/anti-terrorism controls. Anti Money Laundering Questionnaire & Know Your Customer Questionnaire . : Website . Press Room. Legal name of the financial institution: 2. The USA PATRIOT Act 3. Are there specific laws in your country on Money Laundering Prevention: Money Laundering Act, German Banking Act 2. Legal form of the financial institution: 4. Information of license (type, number, date of issue and name of issuing authority) Please provide copy 1.8. 4 0 obj 3 0 obj 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 ☐ ☐ Date of establishment: 13.05.1999 5. Is your AML compliance program approved by your institution’s board or a senior committee? Does the FI have an AML-CTF compliance program? KYC and Anti-Money Laundering Questionnaire for Financial Institutions I. <>>> AML-KYC Policy. 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. 46/16), Sparkasse bank dd BiH is obliged to carry out risk based due diligence procedures on its clients. <>/ExtGState<>/XObject<>/ProcSet[/PDF/Text/ImageB/ImageC/ImageI] >>/MediaBox[ 0 0 595.32 841.92] /Contents 4 0 R/Group<>/Tabs/S/StructParents 0>> Laundering and Anti-Terrorist Financing program? It provides a starting point, which can be supplemented with more detailed information provided by DIA s… FINRA reviews a firm’s compliance with AML rules under FINRA Rule … Legal form ada 1.3. Get to Know Us. News from Us. : Email: … 2 0 obj Incorporation . 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 … The Wolfsberg Anti-Money Laundering Questionnaire has been designed to provide an overview of a financial institution’s anti-money laundering policies and practices. The Notice does not propose any new rules. GLOBAL BENCHMARK. *� 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|�$�/����g!Ck�T��!���[��=�fB����`AI��,��� �m 46f�a1ǁ��:��t� -' About Aktif Bank. Banks use AML … Yes ☐ No ☐ 2. : License No. 46/16), Sparkasse bank dd BiH is obliged to carry out risk based due diligence procedures on its clients. Records of Funds Transfers 11. Does the AML compliance program require approval of the Financial Institution’s (FI’s) Board or a senior committee thereof? Suspicious Activity Monitoring and Reporting 9. AML / KYC QUESTIONNAIRE This is an authorized certification of the Financial Institution named below in response to your questionnaire in connection with correspondent banking transactions or relationship between both our institutions. General AML Policies, Practices and Procedures: Yes No 1. endobj +�U�)�4na �&�4�9�;Ys��a�$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� The following topics are addressed in this guide: 1. 1.0 AML/CFT Policies, Practices and Procedures 1.1 Is the AML/CFT Compliance Programme approved by … Shareholder Structure. 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 Anti-Money Laundering Questionnaire If you answer “no” to any question, additional information can be supplied at the end of the questionnaire. C. BOFIA 2004. Your cooperation in completing this questionnaire is greatly appreciated. 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