Loading
Get Compliance Questionnaire - Companies
How it works
-
Open form follow the instructions
-
Easily sign the form with your finger
-
Send filled & signed form or save
How to fill out the Compliance Questionnaire - Companies online
Filling out the Compliance Questionnaire - Companies is a crucial step in meeting the due diligence requirements set by Harneys. This guide provides clear and comprehensive instructions to assist users in completing the form accurately online, ensuring compliance with necessary regulations.
Follow the steps to complete the Compliance Questionnaire effectively.
- Press the ‘Get Form’ button to access the Compliance Questionnaire - Companies and open it in your preferred online editor.
- Begin by providing your company's full legal name, any former names, trading names or aliases, and the date of formation in the designated fields.
- Specify the country of formation and the current country of registration, if applicable. If the current registration number is different, include it as well.
- Indicate the country of tax residence and list the place(s) of business or trading activity. Be sure to include relevant telephone numbers with the country prefix.
- Provide the company’s website and/or contact email address, followed by the registered office address details, including city, county/state, country, and post/zip code.
- If applicable, complete the address for service of documents, and include any mailing address that differs from the above.
- If the company offers public securities, enter the ticker symbol and the name of the stock exchange. Similarly, if it is a regulated financial services firm, indicate the name of the regulator and its jurisdiction.
- Describe the nature of the company’s business in the director’s statement section, clearly detailing its main activities.
- Finally, read the declaration and undertakings statement and ensure it is signed on behalf of the directors, including printed names, positions, and the date of signing.
- Once you have completed all sections of the form, save your changes and consider downloading, printing, or sharing the form as needed.
Take the next step in compliance by completing the Compliance Questionnaire - Companies online today.
While the Annual Compliance Questionnaire (“ACQ”) could be viewed simply as an online survey to collect data about a firm's financial professionals (“FPs”), to Compliance organizations the ACQ serves as a valuable tool that protects firms against regulatory risk in a myriad of ways.