Illustrative Customer Due Diligence Templates Page 17
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25EP 200 IG 2
Anti-Money Laundering / Countering the Financing of Terrorism (AML/CFT)
Risk Assessment Form
For existing clients only (leave this field blank if not applicable):
Response
Routine review of existing client
Yes
No
Review as a result of a trigger event – Please indicate the trigger event:
Yes
No
For new clients only (leave this field blank if not applicable):
Response
Referred client – Please indicate source of referral below:
Yes
No
3
Please provide details regarding the nature of services required by client
:
Establishing or continuing business relationship with the client is NOT allowed if the answer to
any of the questions below is "NO."
Question
Response
For new client, up-to-date and relevant client identification information,
Yes
No
N/A
including information on shareholders and directors, has been obtained
as per Page 1.
For existing client, no doubt arises as to the veracity or adequacy of the
Yes
No
N/A
evidence previously obtained for the purposes of client identification;
otherwise, client identification information has been re-verified.
4
Client and connected parties
DO NOT MATCH with terrorist suspects
Yes
No
and/or special interest entities in reliable, independent screening
5
databases
.
Yes
No
Client and connected parties DO NOT MATCH with any of the names
under the list of names under the applicable Schedules of the Terrorism
(Suppression of Financing) Act (Cap. 325) and United Nations
sanctioned entities.
If the answer to any of the following questions is "Yes”, the business relationship must be either
terminated or declined. If the answer is “No”, the risk level is “Normal” and you may proceed to
the risk assessment questionnaire.
Question
Response
The ownership of the client is unable to be verified (i.e. comparing
Yes
No
information based on documents).
3
Certain services are subject to additional requirements under the Ethics Pronouncement 200 and CSP Guidelines. Pl ease see
Annex 2 for a list of these services.
4
Connected parties may be family members or close associates (e.g. individuals closely connected either socially or profession ally).
5
Possible databases you may use are Accuity Compliance, Thomson Reuters W orld-Check, Dow Jones Risk & Compliance
Database and Truth Technologies’ Sentinel.
17
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