Get Due Diligence Form

Completing the Due Diligence Form online is a crucial step in ensuring compliance and transparency in your financial dealings. This guide provides clear and supportive instructions to help you navigate each section of the form effectively.

Follow the steps to fill out the Due Diligence Form with ease.

1. Click ‘Get Form’ button to obtain the form and open it in your preferred digital environment.
2. Fill out the client information section. Start with the account name, account number, and the account executive or business unit overseeing your account.
3. In the client due diligence section, provide details regarding the sources of funds or wealth for both individual and corporate clients. Specify the approximated amounts and select applicable income sources.
4. Indicate the anticipated nature of products you plan to deal with KGI, such as stocks, bonds, or mutual funds. This section helps in understanding the client's investment preferences.
5. Detail your anticipated level of trading activity per annum by entering the number of transactions and the total volume of transactions in HKD.
6. If the account is a joint account, ensure each account holder completes and signs a separate Enhanced Customer Due Diligence Form.
7. For politically exposed persons (PEP), input relevant details such as the name, position, name of public function, years of service, and relationship with the client. If there are multiple PEPs, use a separate sheet for questions 4 to 8.
8. In the client declaration section, review the statement carefully. Sign and provide your name, date, and title if a corporate client. This confirms the accuracy of the information provided.
9. Finally, for internal use, there are fields for additional comments, review, and approval by the responsible officer.
10. After completing the form, save your changes, download a copy for your records, print it if necessary, or share it with relevant parties as required.

Complete your Due Diligence Form online today to ensure a smooth and transparent process.