Get Due Diligence And Sanctions Questionnaire 2017-2025

Completing the Due Diligence And Sanctions Questionnaire is essential for providing accurate information regarding your institution's compliance and operational status. This guide offers clear, step-by-step instructions to assist you in filling out the form online effectively.

Follow the steps to successfully fill out the Due Diligence And Sanctions Questionnaire.

1. Click 'Get Form' button to access the Due Diligence And Sanctions Questionnaire and open it in the online editor.
2. In Part 1, fill in the company information. Provide the registered company name, address, city, post code, and country. Additionally, specify the legal form and regulatory authority, if applicable.
3. Detail the main business lines of your company, including a brief description. Indicate whether your institution maintains a physical presence in the licensing country and provide the name and country of your ultimate parent company's headquarters.
4. Answer questions regarding the ownership and management information. Indicate if the company is listed or controlled by a listed company, and provide information about major shareholders, beneficial owners, and any politically exposed persons (PEPs).
5. Address the general AML policies, practices, and procedures section. Confirm if your country is a member of FATF and answer questions about your institution's AML compliance program, training, and record retention policies.
6. In the sanctions certificate section, confirm if your institution has any activities in sanctioned targets. Elaborate on such activities if applicable.
7. If your institution provides custody services, complete the questions in Part 2, addressing compliance obligations for client assets and due diligence policies.
8. In Part 3, if applicable, provide responses regarding intermediating third-party assets and ensuring due diligence for omnibus accounts.
9. Complete the questionnaire by filling in your name, job role, and contact information. Ensure to include an authorized signature and the date of completion.
10. Once all sections are filled out accurately, save changes to your document. You can download, print, or share the questionnaire as needed.

Complete your Due Diligence and Sanctions Questionnaire online today to ensure compliance and streamline your documentation process.