Reputational Risk: AML incidents put a financial institution’s reputation on the line. Legal name of the financial institution: JSC ProCredit Bank 2. AML Questionnaire 1 KYC and Anti-Money Laundering Questionnaire for Financial Institutions I. 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. Full legal name: 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… 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 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). Anti-Money Laundering and Anti-Terrorist Financing Questionnaire. Yes No 6. @ې����f�E�uˠt�F Aktif Bank Patriot Act. 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. Feedback . D. All of the above. The RDBA provides this training and test through our secure members website to all of our broker and affiliate members on an annual basis. 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. 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 … Legal form of the financial institution: 4. %���� Shareholder Structure. Investor Relations . b/�*L�U���_�c. General AML Policies, Practices and Procedures: Yes No 1. Press Room. Wolfsberg AML Questionnaire. Your cooperation in completing this questionnaire is greatly appreciated. The Notice does not propose any new rules. Yes ☐ No ☐ 2. 1 0 obj Kazbegi Ave. Tbilisi, Georgia 3. 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. Date of establishment: 5. Firms must comply with the Bank Secrecy Act and its implementing regulations ("AML rules"). Legal form of the financial institution: 4. Aktif Bank Patriot Act. Anti-Money Laundering Questionnaire For Regulated Financial Institutions Year 2017 A Corporate Information 1. C. BOFIA 2004. To date, there is little implementation of controls by the BNB based on ML/TF risk. Corporate Information: 1. Questions. Financial Institutions are encouraged to rely on this website posting as opposed to requesting individual certification. 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. About Aktif Bank. 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. Laundering and Anti-Terrorist Financing program? AML-KYC Questionnaire. Legal address of the financial institution: 3. 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. W-8-BEN-E-Form. Financial Institutions. endobj Does your institution have a … All financial figures should be reported in Euro thousands (€’000) for example €325,652 should be stated as 326. 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. 3 0 obj AML Programs 4. Anti-Money Laundering Questionnaire I. I. endobj Legal name of the financial institution: 2. <> : Anti-Money Laundering Questionnaire If you answer “NO” to any question, an explanation must be supplied at the end of the questionnaire. B. QUESTIONS RELATED TO YOUR INSTITUTION´S AML POLICIES AND PRACTICES 5. Changes to the AML Template Updated July 18, 2018. Rating Reports. 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. Is your financial institution’s AML compliance program approved by your board or a senior committee? Has your institution implemented written policies and procedures on KYC? Is your Institution privately owned? 3 0 obj FINRA reviews a firm’s compliance with AML rules under FINRA Rule … Are there specific laws in your country on Money Laundering Prevention: Money Laundering Act, German Banking Act 2. Financial Institution ("FI") Name: Address of Principal Location: Has your institution appointed a senior officer responsible for its Anti-Money Yes . <>>> 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. 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. Is the AML compliance program approved by the FI‟s board or a senior committee? Yes No 2. Wolfsberg AML Questionnaire. stream 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. %PDF-1.5 If the answer is yes, please proceed to question 4 Yes No 3. The first section focuses on reaction and resilience: responding to the crisis and managing through uncertainty. the risks is not, however, sufficiently ongoing, due to the insufficiency of the controls carried out, and especially on-site inspections. KNOW YOUR CUSTOMER (KYC) QUESTIONNAIRE . <>/ExtGState<>/XObject<>/ProcSet[/PDF/Text/ImageB/ImageC/ImageI] >>/MediaBox[ 0 0 595.32 841.92] /Contents 4 0 R/Group<>/Tabs/S/StructParents 0>> SSI List. Beneficial Ownership and Customer Due Diligence (“CDD”) 6. It provides a starting point, which can be supplemented with more detailed information provided by DIA s… 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. Money Laundering Prohibition Act,2011 . 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”). AML-KYC Questionnaire. 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 If you answer “no” to any question, additional information can be supplied at the end of the questionnaire. Correspondent Account Anti Money Laundering Questionnaire 1. The following topics are addressed in this guide: 1. It includes questions on your customer due diligence procedures and … * Money Throughput is only applicable to Payment Institutions (PIs). 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 Information of license (type, number, date of issue and name of issuing authority) Please provide copy 1.8. 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. GLOBAL BENCHMARK. No . : Email: … Name of Institution Completing Questionnaire: EAST WEST BANK 2. Any ‘€’ and ‘k’ symbols should be omitted when keying in this data and only digits should be input. Calling Midsize Financial Institutions: BSA/AML/OFAC ... KYC & AML Procedures for Financial Institutions | LeapRate. Is the AML compliance program approved by either the FI’s board or a senior committee? 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 46/16), Sparkasse bank dd BiH is obliged to carry out risk based due diligence procedures on its clients. A. Suspicious Activity Monitoring and Reporting 9. Full name of institution 1.2. ANTI-MONEY LAUNDERING . Institution Name: Registration No. Country Government Institution Name of Law II. Does your company maintain physical presence at your legal address? Does the AML compliance program require approval of the Financial Institution’s (FI’s) Board or a senior committee thereof? Yes No 2. AML regulation: Beyond the 5th AMLD | Refinitiv Perspectives. Please note that the questionnaire must be completed and signed by an authorized individual (e.g. 46/16), Sparkasse bank dd BiH is obliged to carry out risk based due diligence procedures on its clients. Y N 3. General AML Policies, Practices and Procedures: 1. General AML Policies, Practices and Procedures: Yes No 1. Location: 70-72 Avenue Habib BOURGUIBA 1002 Tunis, TUNISIA. Delegations and experts are invited to provide responses to this questionnaire to the FATF Secretariat by COB 7 December 2020. 7. AML-KYC Policy. Bank of Commerce AML Questionnaire Page 2 of 5 2. I. General AML Policies, Practices and Procedures: YES NO 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�[�� _? 2. Swift Code . Financial Institutions. Add additional rows, if necessary. 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. I. Financial Statements –Year End (Q5). News from Us. General AML Policies, Practices and Procedures 1. 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. <> EkoLig. Customer Identification Programs 5. 4 0 obj 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. Financial Institutions. Anti-Money Laundering and Anti-Terrorist Financing Questionnaire. AML-KYC Policy. Date of establishment: 13.05.1999 5. :���GՋ�ϫ*x�~���,h�3B���Ύ�L��ǝV.,t(�1�ӣ}O��o�)�0���?���hQ��4� ����j����~��~�Kyt ��:/�� `ٮq4�®!��7�*�,�@���B鈀�§��.����. W-8-BEN-E-Form. Legal form ada 1.3. Governance Financial Institution ("FI") Name: Address of Principal Location: Has your institution appointed a senior officer responsible for its Anti-Money Yes . : License No. Shareholder Structure . AML & KYC QUESTIONNAIRE FOR FINANCIAL INSTITUTIONS SECTION 1 - GENERAL INFORMATION 1.1. On the 1st January 2009, those Regulations were superseded by the Proceeds of Crime (Anti-Money Laundering and Anti-Terrorist Financing) Regulations 2008. stream Legal form of the financial institution: Joint Stock Company 4. KYC and Anti-Money Laundering Questionnaire for Financial Institutions I. Contacts. Does your institution have a written policy, controls and procedures reasonably designed to prevent and detect money laundering/terrorist financing activities? Your Institution’s Information 1. endobj 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. Financial Highlights. Rising Costs: Most AML compliance activities require significant manual effort, making them inefficient and difficult to scale. Investor Relations. Records of Funds Transfers 11. 46/16), Sparkasse bank dd BiH is obliged to carry out risk based due diligence procedures on its clients. endobj The USA PATRIOT Act 3. <> Correspondent Accounts: Prohibition on Foreign Shell Banks and Due Diligence Programs 7. RBC Financial Global Approach to Anti-Money Laundering . 4 0 obj Annual Report. Anti-Money Laundering Questionnaire For Regulated Financial Institutions 2016 A Corporate Information 1. General Information: Información General: 1. Settings. 1.0 AML/CFT Policies, Practices and Procedures 1.1 Is the AML/CFT Compliance Programme approved by … Financial Institution Name: Account No. A. Institution Information Financial Institution Name Country Jurisdiction Regulatory Authority Anti Money Laundering (AML) Controls and Assessment I. Forty-three financial institutions answered a series of 30 questions online between 3 and 17 June 2020. In the financial sector, the supervisors have generally identified the main high risks. AML/CFT obligations imposed on Reporting institutions are stipulated under Part IV of the AMLA and provided in the AML/CFT Policies. I. BIOGRAPHICAL INFORMATION . Scroll. <> For Reporting Institutions. Y e s 2. Yes No 6. Name of Regulator . 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 … %���� Legal address of the financial institution: 21 Al. Rating Reports. 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. %PDF-1.5 The questionnaire was broken down into two main sections. Changes to the AML Template Updated July 18, 2018. Swift code 1.7. List of shareholders who own more than 5% of shares of the Institution – AML Questionnaire I. Financial Institution Name: Banque Internationale Arabe de Tunisie. FATCA GIIN . No . 2 0 obj 6. Does your institution appoint a senior officer responsible for your [ ] YES [ ] NO If yes, please list the names of all owners in thetable below and their respective interests (%) in the Institution. �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� About Çalık Group. The Wolfsberg Anti-Money Laundering Questionnaire has been designed to provide an overview of a financial institution’s anti-money laundering policies and practices. 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 Understanding of . 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 ☐ ☐ 1 0 obj 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. The Bank Secrecy Act 2. Due Diligence Programs for Private Banking Accounts 8. Legal name of the financial institution: 2. About Us. Banks use AML … Name of the Institution: Nombre de la Institución: Banco Estado Chile. Date Completed: … @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 �v쬕Gy6�-�?���"6�. Legal address of the financial institution: 3. SSI List. I. 1.0 AML/CFT Policies, Practices and Procedures 1.1 Is the AML/CFT Compliance Programme approved by … Recognitions. Official website 1.6. 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