The main purpose of the 2004 DDQ was to “act as an aid to FIs conducting … Anti Money Laundering Questionnaire & Know Your Customer Questionnaire . : License No. 2. 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. Is your institution taking steps to implement written KYC policies? 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. : Anti-Money Laundering Questionnaire If you answer “NO” to any question, an explanation must be supplied at the end of the questionnaire. endobj Wolfsberg AML Questionnaire. General Information about the Financial Institution . It includes questions on your customer due diligence procedures and … Scroll. Name of Regulator . Financial Institution ("FI") Name: Address of Principal Location: Has your institution appointed a senior officer responsible for its Anti-Money Yes . Does this program apply to all of the FI’s domestic and foreign branches and … 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. Tel No: Fax No. <>/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 For Regulated Financial Institutions 2016 A Corporate Information 1. If the answer is no, please explain why not. Swift Code . stream 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 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. No . the risks is not, however, sufficiently ongoing, due to the insufficiency of the controls carried out, and especially on-site inspections. b/�*L�U���_�c. Financial Statements –Year End (Q5). Legal form of the financial institution: 4. Legal address of the financial institution: 21 Al. Anti-Money Laundering Questionnaire If you answer “no” to any question, additional information can be supplied at the end of the questionnaire. Investor Relations. Country of . AML Questionnaire 1 KYC and Anti-Money Laundering Questionnaire for Financial Institutions I. Contacts. Is the AML compliance program approved by either the FI’s board or a senior committee? About Us. <>>> : Email: … 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 … 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�[�� _? 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. Institution Information Financial Institution Name Country Jurisdiction Regulatory Authority Anti Money Laundering (AML) Controls and Assessment I. %���� AML & KYC QUESTIONNAIRE FOR FINANCIAL INSTITUTIONS SECTION 1 - GENERAL INFORMATION 1.1. :���GՋ�ϫ*x�~���,h�3B���Ύ�L��ǝV.,t(�1�ӣ}O��o�)�0���?���hQ��4� ����j����~��~�Kyt ��:/�� `ٮq4�®!��7�*�,�@���B鈀�§��.����. Legal address 1.4. �tEq2�N� �aC�s$tl9�C�xCa�������ƛ ? %���� General AML Policies, Practices and Procedures 1. For Financial Institutions. +�U�)�4na �&�4�9�;Ys��a�$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� : Website . Wolfsberg AML Questionnaire. Your cooperation in completing this questionnaire is greatly appreciated. Does the AML compliance program require approval of the Financial Institution’s (FI’s) Board or a senior committee thereof? KCB AML Questionnaire v2:05/15 Page 2 of 10 . <>/ExtGState<>/XObject<>/ProcSet[/PDF/Text/ImageB/ImageC/ImageI] >>/MediaBox[ 0 0 595.32 841.92] /Contents 4 0 R/Group<>/Tabs/S/StructParents 0>> AML/KYC Questionnaire; Financial Information. Date of establishment: 13.05.1999 5. Does your institution appoint a senior officer responsible for your @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�. Banks use AML … Delegations and experts are invited to provide responses to this questionnaire to the FATF Secretariat by COB 7 December 2020. ͅ_��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 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”). KYC and Anti-Money Laundering Questionnaire for Financial Institutions I. RBC Financial Global Approach to Anti-Money Laundering . Financial Institutions. Annual Report. The following topics are addressed in this guide: 1. Country Government Institution Name of Law II. Financial Institution Name: Banque Internationale Arabe de Tunisie. Legal form of the financial institution: 4. 1 0 obj Location: 70-72 Avenue Habib BOURGUIBA 1002 Tunis, TUNISIA. Y N 3. The Notice does not propose any new rules. General AML Policies, Practices and Procedures: 1. Legal form ada 1.3. 1.0 AML/CFT Policies, Practices and Procedures 1.1 Is the AML/CFT Compliance Programme approved by … GLOBAL BENCHMARK. Does your institution have a written policy, controls and procedures reasonably designed to prevent and detect money laundering/terrorist financing activities? If the answer is yes, please proceed to question 4 Yes No 3. Calling Midsize Financial Institutions: BSA/AML/OFAC ... KYC & AML Procedures for Financial Institutions | LeapRate. List of shareholders who own more than 5% of shares of the Institution – AML Questionnaire I. Does the FI have an AML-CTF compliance program? 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). Please note that the questionnaire must be completed and signed by an authorized individual (e.g. 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 FATCA GIIN . ANTI-MONEY LAUNDERING . Name of Institution Completing Questionnaire: EAST WEST BANK 2. Official website 1.6. Financial Highlights. 2 0 obj AML-KYC Policy. To date, there is little implementation of controls by the BNB based on ML/TF risk. About Aktif Bank. Yes No 6. Questionnaire Anti-Money Laundering ... INFORMATION ABOUT FINANCIAL INSTITUTION 2.1 AML / CTF 2.1.1 POLICIES AND PROCEDURES 1. Firms must comply with the Bank Secrecy Act and its implementing regulations ("AML rules"). Shareholder Structure . Financial Institutions. Does your company maintain physical presence at your legal address? 4 0 obj Does your institution have a … W-8-BEN-E-Form. Anti-Money Laundering and Anti-Terrorist Financing Questionnaire. Anti-Money Laundering and Anti-Terrorist Financing Questionnaire. For Reporting Institutions. Institution Name: Registration No. 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. Phone and fax numbers 1.5. Shareholder Structure. 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. 4 0 obj 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 For Regulated Financial Institutions Year 2017 A Corporate Information 1. [ ] YES [ ] NO If yes, please list the names of all owners in thetable below and their respective interests (%) in the Institution. Date Completed: … Yes No 2. Is the AML compliance program approved by the FI‟s board or a senior committee? AML/CFT obligations imposed on Reporting institutions are stipulated under Part IV of the AMLA and provided in the AML/CFT Policies. 46/16), Sparkasse bank dd BiH is obliged to carry out risk based due diligence procedures on its clients. During the Quiz End of Quiz ... and regulation support the fight on AML/CFT in Nigeria A. I. 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. Legal form of the financial institution: Joint Stock Company 4. Yes No 6. Legal name of the financial institution: 2. Date of establishment: 5. 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 $46.4 billion for those types of breaches since 2008. 6. General Information: Full Name of Financial Institution JSC TBC Bank Legal Form Joint Stock Company Registration Number 5/5-20 Date of Registration 04.01.1996 Swift, BIC TBCBGE22 Tax Identification Number 204854595 License Type Banking Is your AML compliance program approved by your institution’s board or a senior committee? Does your company maintain physical presence at your legal address? Financial Institution ("FI") Name: Address of Principal Location: Has your institution appointed a senior officer responsible for its Anti-Money Yes . 46/16), Sparkasse bank dd BiH is obliged to carry out risk based due diligence procedures on its clients. Questions. Settings. Anti-Money Laundering Questionnaire January 2015 5 2) Content of the AML CTF procedures Yes No Does your AML – CTF procedures include: - Minimum supporting KYC Documentation to be obtained ☐ ☐ MoneyLaundering.com :: Changes in Bank Regulations ... Overview of BSA/AML, OFAC Regulations, … stream I. BIOGRAPHICAL INFORMATION . Recognitions. Add additional rows, if necessary. Get to Know Us. Legal name of the financial institution: JSC ProCredit Bank 2. Has your institution implemented written policies and procedures on KYC? SSI List. A. <> %PDF-1.5 Kazbegi Ave. Tbilisi, Georgia 3. *� J�m� ���z0�j�Œ=��U �փa➠`;;�ǭ#��Z>>n)�m��pZמ9Ċ ���֊8n�J���~\���.ʹ�Y�v����m�$�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� -' General AML Policies, Practices and Procedures: Yes No 1. News from Us. It is Union Bank UK Plc’s policy to obtain information from all our correspondents relative to their anti-money laundering/anti-terrorism controls. endobj your institution’s Anti-Money Laundering and Anti-Terrorist Financing policies and procedures . Your Institution’s Information 1. No . @ې����f�E�uˠt�F 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. 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 … EkoLig. Date of establishment: 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 License Number N 85 Country of Licensing Authority and Regulator Georgia License … endobj Press Room. About Çalık Group. Forty-three financial institutions answered a series of 30 questions online between 3 and 17 June 2020. Money Laundering Prohibition Act,2011 . Beneficial Ownership and Customer Due Diligence (“CDD”) 6. The Questionnaire requires an explanation when a “No” response is chosen (this does not imply that Yes No 2. AML Programs 4. 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. AML operates on a broader level: they are the measures institutions take to prevent and combat money laundering, terrorism financing and other financial crimes. On the 1st January 2009, those Regulations were superseded by the Proceeds of Crime (Anti-Money Laundering and Anti-Terrorist Financing) Regulations 2008. B. Audit Reports. Anti-Money Laundering Questionnaire For Regulated Financial Institutions Year 2017 A Corporate Information 1. 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