Anti-Money Laundering Questionnaire January 2015 1 globeSettle S.A. – Anti-Money Laundering Questionnaire I. Doug Williamson explains how to minimise the pain of answering them. Give it a shot and see how informed you are. YES. This questionnaire helps firms to gauge if they are effectively discharging their legal and regulatory obligations to prevent money laundering, terrorist financing and fraud. GFH Compliance & Anti- Money Laundering Due Diligence Questionnaire . Notre volonté est d’informer nos clients, nos collaborateurs et nos partenaires sur le respect de nos obligations, mais aussi de tenir cette information disponible auprès du public le plus large possible. The AML/CFT Self-Assessment Questionnaire provides a practical method for firms to focus on the key AML/CFT requirements. ACCA has created a template with some hints and tips to aid members and their clients in completing a firm-wide risk assessment. Anti-money laundering involves all policies and pieces of legislation that force financial institutions to proactively monitor their clients in order to prevent money laundering and corruption. Citing reference: FATF (2015), “Supervision” in Anti-money laundering and counter-terrorist financing . I. No. DUE DILLIGENCE QUESTIONNAIRE Anti-Money Laundering & Anti-Terrorist Financing This questionnaire is designed to provide Commercial Bank INTESA SANPAOLO ROMANIA SA with information about you, and your policies and procedures. Is the AML compliance program approved by the FI’s board or a senior committee? La démarche est similaire à celle que préconise le groupe Wolsberg. Anti-Money Laundering Questionnaire If you answer “no” to any question, additional information can be supplied at the end of the questionnaire. Vendor Procurement Due Diligence / ABC Control Framework. General Information 1. Instructions. Anti-Money Laundering Questionnaire I. To gather the views of citizens and stakeholder on these measures, the Commission launche… The Financial Institution should answer the questionnaire at the legal entity level including any branches for which the client base, products and control model are materially similar to the LE Head Office. They update the UK's AML regime to incorporate international standards set by the Financial Action Task Force (FATF) and to transpose the EU’s 5th Money Laundering Directive. I. measures - Belgium, … Customer Information: Legal name of Institution: GARANTI BANK S.A. The questionnaire is required to be answered on a Legal Entity (LE) Level. e of Financial Institution. General AML Policies, Practices and Procedures: Yes No 1. To assist Firms to adopt appropriate practices to mitigate the risk of money laundering, terrorist financing and fraud, the Regulatory Authority have developed this AML/CFT Self Assessment which outlines the core requirements of an Anti Money Laundering/Combating the Financing of Terrorism (AML/CFT) and fraud prevention programme in line with the Anti-Money Laundering and Combating … Number of Branches: 120+ … On 7 May 2020, the European Commission adopted an action plan for a comprehensive Union policy on preventing money laundering and terrorism financing built on six pillars. Is the AML compliance program approved by the FI’s board or a senior committee? The Wolfsberg Anti-Money Laundering (AML) Principles for Private Banking were subsequently published in October 2000, revised in May 2002 and again most recently in June 2012. QUESTIONS RELATED TO YOUR INSTITUTION´S AML POLICIES AND PRACTICES 5. The Money Laundering Regulations 2017 (the regulations) only mention the source of funds in two places: regulation 28, for ongoing monitoring, and regulation 35, with respect to politically exposed persons (PEPs). Is the AML compliance program approved by the FI’s board or a senior committee? Yes ☐ No ☐ 24. General AML Policies, Practices and Procedures: Yes No 1. The … of Organization or Establishment: Principal Loc. The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 came into effect on 26 June 2017 and will be referred to as MLR 2017 throughout this guidance. Is the AML compliance program approved by the FI’s board or a senior committee? Carrying out a risk assessment will help you to: develop policies, procedures and controls to reduce the risk of money laundering 4b. The Group came together in 2000, at Château Wolfsberg in north‐eastern Switzerland, in the company of representatives from Transparency International including Stanley Morris and Professor Mark Pieth of the University of Basel, to work on drafting anti‐money‐laundering guidelines for private banking. Questionnaires Guidance Material Questionnaires. Corporate Information: 1. Date Established: January 1, 1972 5. So that criminals can use the proceeds of illegal activities without their original source being detected, they will resort to money laundering. Date Established: January 1, 1972 5. Appendix A - Anti-Money Laundering Questionnaire 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. A summary of Bankia's manual on its global anti-money laundering and terrorism financing policies, as well as the Wolfsberg Group anti-money laundering questionnaire, can be consulted below. Money laundering is the conversion of the proceeds of criminal activity into apparently clean funds by disguising the sources of the money, changing its form, or moving the funds to a place where they are less likely to attract attention. Y N 2. X 2. money laundering laws applicable to your head office? Any reference in this publication to money laundering will also refer to terrorist financing. MONEY LAUNDERING REGULATIONS 2017 COMPLIANCE REVIEW Issued: xx.xx.2020 1.0 THE FIRM Y N N/a Comments 1.1 Is the firm a member firm in accordance with the disciplinary byelaws? Money-laundering questions are an unavoidable part of corporates’ relationships with their banks. * Le groupe Wolfsberg est une association de 11 banques internationales qui a acquis sa notoriété en octobre 2000, en définissant avec l'ONG Transparency International un ensemble de directives sur la lutte contre le blanchiment de capitaux destinées aux banques privées à vocation internationale. If you answer “no” to any question, additional information can be supplied at the end of the questionnaire General AML Policies, Practices and Procedures: Is the AML compliance program approved by the FI‟s board or a senior committee? If your firm does not meet the definition of an ICAEW member firm … Anti-Money Laundering Questionnaire to ICPAC September 2020 . QUESTIONS RELATED TO YOUR INSTITUTION´S AML POLICIES AND PRACTICES 5. Attachments. Situations that present a higher money laundering risk might include, but are not restricted to: ... A correspondent bank relies exclusively on the Wolfsberg Group AML questionnaire. Full Legal Name of the Financial Institution (FI) 2. Many organisations and professionals deploy anti-money laundering controls to help the fight which requires robust knowledge of money laundering techniques, associated crimes and relevant legislation. Questionnaire. A policy statement is a document that includes your anti-money laundering policy, controls and the procedures your business will take to prevent money laundering. Name of Institution Completing Questionnaire: East West Bank 2. For corporate treasurers, dealing with banks is an essential daily task. This process attempts to make funds appear perfectly 'clean' with an apparently legitimate reason for their existence. 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. Yes 2. Information préalable au prélèvement des frais, Prélèvements SEPA - Maîtrisez vos opérations en toute sécurité, Droit des consommateurs relatifs à la DSP2, La réglementation Directive de Distribution d’Assurances, Comptes bancaires inactifs et contrats d'assurance vie en déshérence (Loi Eckert), Questionnaire relatif à la prévention du blanchiment de capitaux et du financement du terrorisme (prevention of money laundering and conter-financing terrorism questionnaire). This supports serious crimes such as people and drug trafficking, which cause enormous harm to people, especially the vulnerable, as well as undermining the stability of our financial markets and the integrity of the legal services sector. Is the AML compliance program approved by the FI‟s board or a senior committee? money laundering involving the FI’s products and services and internal policies to prevent money laundering? Citi is the leading global bank. Anti-Money Laundering Questionnaire If you answer “no” to any question, additional information can be supplied at the end of the questionnaire. Box 1467 Riaydh 11431 Saudi Arabia This questionnaire acts as an aid to firms conducting due diligence and should not be relied on exclusively or excessively. Anti-money laundering initiatives around the world have led to collaborative efforts between law enforcement, regulatory bodies, trade associations and private businesses. The form is the first phase in helping you meet the requirements of money laundering law, and your mortgage lender. Anti-Money Laundering Questionnaire If you answer “no” to any question, additional information can be supplied at the end of the questionnaire. Trading Name (if different): 3. A comprehensive database of more than 15 anti money laundering quizzes online, test your knowledge with anti money laundering quiz questions. Completed by: Name: Myrna Olvera Title: Senior Vice President, BSA Officer Position: BSA Officer Email: Myrna.Olvera@EastWestBank.com 4. Does the FI retain records of its training sessions including atte ndance records and relevant training materials used? 6.upervision S. Effectiveness and technical compliance. Anti-Money Laundering Questionnaire If you answer “no” to any question, additional information can be supplied at the end of the questionnaire. Anti-Money Laundering Questionnaire If you answer “no” to any question, additional information can be supplied at the end of the questionnaire. Questionnaire relatif à la prévention du blanchiment de capitaux et du financement du terrorisme (prevention of money laundering and conter-financing terrorism questionnaire) La démarche est similaire à celle que préconise le groupe Wolsberg. … October 5, 2020 . I. In turn, the bank’s legal obligations include complying with strict regulations on money laundering, terrorism and sanctions. * Money laundering is ‘the process by which criminals convert the proceeds of illegal activities into legitimate funds’. This questionnaire is an important information-gathering exercise necessary for conducting an effective and informed assessment of Money Laundering/Terrorist Financing ML/TF risks in the Real Estate Industry. X N 2. ¥`0Ğ&�›™¹sæŸïœ™œ{H@�ZîWB‡Ó!‹½*hOK²h �úò"ÙŸÕ¨×îïôış 3Iu¶ùLËõ`w—Z“¥¥ì%Ks„/âVy­½¯Ü¼}©­ãÆ�«íç:¯]>ß7ğàÙİ[¡G�Ÿ_xúğş‹Wãqı“7ãıo_¾NŒDcïŞßú0¦ëÉLrfD�ú}a…§×ıAÌç@s©Şè45>2˜¢&’È®îàG’¹éT{2ÅzãiìxHÌJUaF+ÕpúÈLšÿe–©’Ôù|Mò¸Ünw:w»=¾ù�µj§ÓͶ�R¦ÓFÙìå¾…µ™)9¼(,”¥„w+V»h'šóµr諆ÇfnŸ”]�\©ST U¨ÄÏœ5ä„­Ô�)*�6��J£MbR‰„¨R�hR�á¬X #ªáÁÌ»M° '©�¬(F5Õiú©œêá’H.å߉YQNë. Failure to report suspicious activity can carry a criminal sentence and lead to … (ICAEW is the automatic supervisory authority for ICAEW member firms. ion. Anti-money laundering declaration and questionnaire - CBL (2,233 kb, pdf) Anti-money laundering declaration and questionnaire - CBF (2,065 kb, pdf) Statement concerning customer due diligence and the combating of money laundering and terrorist financing to the attention of the Transfer Agent ("TA") / the Fund - CBL (1,423 kb, pdf) Completed by: Name: Myrna Olvera Title: Senior Vice President, BSA Officer Position: BSA Officer Email: Myrna.Olvera@EastWestBank.com 4. Ainsi vous trouverez le questionnaire élaboré par le groupe BPCE auquel la Banque de Savoie a répondu : La démarche est similaire à celle que préconise le groupe Wolsberg. Anti-Money Laundering Questionnaire If you answer “no” to any question, additional information can be supplied at the end of the questionnaire. Wolfsberg's CBDDQ 170420 V1.3. I. test. The offences are laid down in Part 7 of the Proceeds of Crime Act 2002. Annex 1: - Source of Funds Questionnaire To be completed by prospective buyers. Wolfsberg's CBDDQ 140618 V1.2 Wolfsberg's CBDDQ 140618 V1.2 (Excel Version) Wolfsberg's FCCQ … General AML Policies, Practices and Procedures: Yes No 1. completing a “Firm-Wide Risk Assessment Questionnaire” leading a discussion of money laundering and financial crime risks at a partners’ meeting on [date] [alternatively consulting heads of offices and heads of teams about money laundering risks, including arrangements for the management of any funds held by us]. money laundering laws applicable to your head office? Anti-Money Laundering /Anti- Terrorist Financing Questionnaire I. Anti-Money Laundering Questionnaire I. Jurisdiction . Anti-Money Laundering & Countering the Financing of Terrorism Questionnaire. General AML Policies, Practices and Procedures: Yes No 1. measures - Belgium. The questionnaire and supporting materials have been designed to make completion as easy as possible. On 24 July 2019, the European Commission adopted a Communication entitled "Towards better implementation of the EU's anti-money laundering and countering the financing of terrorism framework"accompanied by four reports. Yes 2. The money laundering offences can include the concealing, disguising, arranging, acquisition, use and possession of the proceeds of criminal activity. I. Is the AML compliance program approved by the FI’s board or a senior committee? Our online anti money laundering trivia quizzes can be adapted to suit your requirements for taking some of the top anti money laundering quizzes. Prevention of Money Laundering, Financing of Terrorism and Sanctions and International Financial Countermeasures of the Bankia Group (spanish version). The questionnaire is an important tool for the Institute to gather information on the nature and extent of professional services provided by its constituents for the purposes of assessing the ML / TF risks of the accounting profession. Date Completed: March 13 th 2018 3. Anti-Money Laundering /Anti- Terrorist Financing Questionnaire I. This page highlights some specific new areas that firms need to comply with. Is the AML compliance program approved by the FI’s board or a senior committee? I. If no, please provide regulatory authorities and relevant regulations for each foreign branch/subsidiary below: Country Government Institution Name of Law II. Address : Registered Trading Address: D. at. counter-terrorist financing . We may seek further information or documents from you to verify or explain information given in this form, if it appears necessary. NO. WOLFSBERG NEWS. Un questionnaire Anti-Money Laundering (AML) est une fiche de renseignements que les banques s'envoient réciproquement afin d'obtenir des informations sur les procédures nationales existantes de lutte contre le blanchiment d'argent. e: Yes . If no, please provide regulatory authorities and relevant regulations for each foreign branch/subsidiary below: Country Government Institution Name of Law II. Anti-Money Laundering Questionnaire. Questionnaire relatif à la prévention du blanchiment de capitaux et du financement du terrorisme (prevention of money laundering and conter-financing terrorism questionnaire). Clearstream's responses to the questionnaire, along with a statement on our AML preparations, are provided in the below documents. Test. A summary of Bankia's manual on its global anti-money laundering and terrorism financing policies, as well as the Wolfsberg Group anti-money laundering questionnaire, can be consulted below. The questionnaire is an important tool for the Institute to gather information on the nature and extent of professional services provided by its constituents for the purposes of assessing the ML / TF risks of the accounting profession. ​Par souci de transparence, nous souhaitons porter à votre connaissance nos obligations en termes de prévention du blanchiment de capitaux et de financement du terrorisme. Money laundering allows criminals to change dirty money into clean assets and funds that have no obvious link to criminal activity. Outcomes for our clients and customers with Financial solutions that are simple creative. Sessions including atte ndance records and relevant regulations for each foreign branch/subsidiary below: Country Government Institution Name of Bankia. For their existence ) Wolfsberg 's CBDDQ 170420 V1.3 ( Excel version ) of Bankia. Questionnaire and supporting materials have been designed to make funds appear perfectly '. 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