Registration AML Questionnaire We pledge that all information received from your end will be top confidential Page 1 Page 2 Page 3 Page 4 Page 5 Page 6 Page 7 Page 8 Page 9 Url Name of the Bank / Financial Inst. * Country of Incorporation * Legal Status * Commercial Registration Number * Banking License * Website Registered Address * Mailing Address * Line of Business * Major Shareholders * Board of Directors names and direct contacts * CEO * Number of Local Branches * Number of Foreign Branches * Regulators * External Auditors Name of Stock Exchange the institution is listed in Status Compliance Executive Management (or attach) Name Email Position Direct Phone Number(s) Date of Appointment Name Email Position Direct Phone Number(s) Date of Appointment Preamble 1- What is the name of your main regulatory authority? 2- Has your Country established laws designated to combat Money Laundering and Financing of Terrorism according to FATF/GAFI standards and controls? Yes No If No, Does your Country endorse the recommendations and principles of FATF/GAFI (40)? Yes No 3- Does your Country’s regulatory body require all Financial Institutions to have written AML/CFT and KYC policies & procedures? Yes No 4- Does your country require your Institution to comply with internationally accepted KYC standards? Yes No 5- Does your Institution apply your Home Country laws and/or regulations designed to deter and detect Money Laundering and Financing of Terrorists to foreign branches and subsidiaries? Yes No 6- In case of conflict between your Home Country AML/CFT laws and/or regulations and the local laws and/or regulations in the foreign jurisdiction where you have branches or subsidiaries, do you apply the highest standard? Yes No Whistleblowing Policies, Practices, & Procedures 1- What mechanisms are in place to encourage and protect whistleblowing? 2- What hierarchy is in place to allow internal reporting? Anti-bribery and Transparency 3- What are the codes of conduct and compliance policies adopted by the institution to avoid bribery and foreign corrupt practices (FCP)? 4- What continuous awareness and advice are in place to prevent FCP and enhance transparency? 5- What internal investigation processes are in place? Anti-Money Laundering and Bank Secrecy Act Compliance 6- What processes are there for due diligence requirements for new clients, existing clients, and third parties? 7- Is there an automatic Suspicious Activity Report system in place? Yes No 8- What is the administrative hierarchy for specialized people in compliance for AML and BSL? 9- Is there any periodic training for employees about AML and BSA? Report system in place? Yes No OFAC 10- Is there a systematic comparison of new account registrations with the OFAC database? And are the existing accounts reviewed periodically? Yes No 11- In case of discovery of suspicious activities, is there a mechanism to report to the OFAC in a timely manner? 12- Have you or any of your correspondent banks been subject to sanctions in the last 10 years? Yes No 13- If yes, please explain why and what was the sanction. 14- What is the Ethics policy the institution adopts? Please provide any other additional information which may be relevant Recommended documents: Please submit a copy of the following documents: 1. Registration Certificate 2. License Certificate 3. Article of Association 4. Outline of your KYC, AML, and CFT Policy 5. Latest Annual Report (if not available on your website). 6. US Patriot Act Certification 7. List of Shareholders and percentages of shares 8. List of Foreign branches and subsidiaries 9. Board of Directors and their nationalities 10. Applicable tax form for FATCA purposes. Your prompt attention to this matter is highly appreciated. Thank you for your cooperation. Completed by Authorized Signatory I certify that the statements made in this questionnaire are complete and accurate, and that I am authorized to execute this questionnaire on behalf (Name of your Institution) NAME Title Contact Details Date
