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ANTI MONEY LAUNDERING QUESTIONNAIRE [NON-FINANCIAL] General Information Full name of institution: Address of institution: Telephone number: Facsimile number: WebSite address: YES NO 1.1 Does your institution only deal or trade on its own behalf i.e. not on behalf of any underlying customers? 2.1 Is your institution regulated and / or supervised by a Regulatory Authority? 2.2 Please provide the name of your Name: Regulatory Authority 3.1 Has your country established laws designed to prevent money laundering to Financial Action Task Force standards and controls? 3.2 Note: Where the answer to question 3.1 above is ‘No’ Does your country endorse the recommendations and principles of Financial Action Task Force1? 4.1 Has your institution established written policies, procedures and controls in accordance with Financial Action Task Force standards? 4.2 Note: Where the answer to question 4.1 above is ‘No’ Are your policies, procedures and controls in accordance with your local regulatory requirements? 1 See www.fatf-gafi.org YES NO N/A 5.1 Do your policies, procedures and controls specifically include: clear client identification / due diligence not maintaining anonymous accounts client activity monitoring limitation on cash deposits risk based approach to ‘Know your Customer’ procedures based on products supplied and domicile of customer reporting suspicious activity to your local authorities retention of records of identification and due diligence in accordance your local regulatory requirements employee training internal audit process to test robustness of your anti-money laundering controls anti-money laundering softwares 5.2 Note: Where the answer to question 5.1 above is ‘No’, please provide details of your anti-money laundering policies, procedures and controls 6.1 Do you ensure that your policies, procedures and controls are communicated and enforced effectively in your network of domestic and international offices through the following approaches: internal circulars procedural manuals internal audit compliance officer checks external audit / regulatory inspection 6.2 Note: Where the answer to question 6.1 above is ‘No’, please provide details of your communication and enforcement approach Comments: Questionnaire completed by: (Please print name and sign) Title: Date:
"Anti-Money Laundering Questionnaire - TFS Green"