Documents
Resources
Learning Center
Upload
Plans & pricing Sign in
Sign Out

Anti-Money Laundering Questionnaire - TFS Green

VIEWS: 6 PAGES: 2

									     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:

								
To top