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CDD Individual
T6 + T8
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Company Name
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您的回答
Client Name:
*
您的回答
Date
年
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月
/
日
T06 Risk Assessment Form - Individual
Does the client meet the requirement for automatic enhanced due diligence as a result of:
Being a case identified as high risk in our firm-wide risk assessment.
Yes
No
NA
Ans:
Yes
No
NA
Ans:
清除所选内容
Being a politically exposed person (PEP) or a close family member or known close associate of a PEP
Yes
No
NA
Ans:
Yes
No
NA
Ans:
清除所选内容
Being in a business relationship or transaction (personally or through a business) with a person established in or with connections to, a high risk third country.
Yes
No
NA
Ans:
Yes
No
NA
Ans:
清除所选内容
Providing false or stolen ID documentation.
Yes
No
NA
Ans:
Yes
No
NA
Ans:
清除所选内容
A transaction being complex and unusually large or having an unusual pattern of transactions.
Yes
No
NA
Ans:
Yes
No
NA
Ans:
清除所选内容
The transaction/(s) having no apparent economic or legal purpose.
Yes
No
NA
Ans:
Yes
No
NA
Ans:
清除所选内容
**Any ‘yes’ answers will indicate a high risk client for AML purposes
No (Continue)
Yes (High Risk)
Ans:
No (Continue)
Yes (High Risk)
Ans:
清除所选内容
Are any of the following risk factors present in your client?
The business relationship is conducted in unusual circumstances
Yes
No
NA
Ans:
Yes
No
NA
Ans:
清除所选内容
The client is involved in transactions that favour anonymity.
Yes
No
NA
Ans:
Yes
No
NA
Ans:
清除所选内容
The client is resident in or has connections with a geographical area of high risk
Yes
No
NA
Ans:
Yes
No
NA
Ans:
清除所选内容
You have not met the client.
Yes
No
NA
Ans:
Yes
No
NA
Ans:
清除所选内容
The client receives payments from unknown or un-associated third parties.
Yes
No
NA
Ans:
Yes
No
NA
Ans:
清除所选内容
**Does the presence of any of these risk factors indicate a higher risk of money laundering or terrorist financing?
No (Continue)
Yes (High Risk)
Ans:
No (Continue)
Yes (High Risk)
Ans:
清除所选内容
Does the individual otherwise present a higher than normal risk of money laundering or terrorist financing?
No (Normal Risk)
Yes (High Risk)
Ans:
No (Normal Risk)
Yes (High Risk)
Ans:
清除所选内容
Enhanced due diligence to be performed where risk is assessed as high
Obtaining approval of senior management to commence or continue the relationship
Yes
No
NA
Ans:
Yes
No
NA
Ans:
清除所选内容
Additional evidence to support verification of identity
Yes
No
NA
Ans:
Yes
No
NA
Ans:
清除所选内容
More detailed customer due diligence/ Know Your Client information to better understand the background and financial situation of the client and others party to transactions
Yes
No
NA
Ans:
Yes
No
NA
Ans:
清除所选内容
Additional steps to be satisfied that transactions are consistent with the purpose and intended nature of the business relationship
Yes
No
NA
Ans:
Yes
No
NA
Ans:
清除所选内容
Increased ongoing monitoring of the business relationship
Yes
No
NA
Ans:
Yes
No
NA
Ans:
清除所选内容
Increased scrutiny of transactions
Yes
No
NA
Ans:
Yes
No
NA
Ans:
清除所选内容
T08 Identification/ Verification of identity form – Individual
Risk assessment for client (see customer due diligence/ Know Your Client and risk assessment forms)
Low Risk
Normal Risk
High Risk
Ans:
Low Risk
Normal Risk
High Risk
Ans:
清除所选内容
You need to obtain all the information in one section only of this form.
Government issued photo-ID
Required by: Low, Normal & High
Yes
No
NA
Ans:
Yes
No
NA
Ans:
清除所选内容
▲Comments / cross-reference to documents
您的回答
Proof of home address
Required by: High risk only
Yes
No
NA
Ans:
Yes
No
NA
Ans:
清除所选内容
▲Comments / cross-reference to documents
Required: High risk only
您的回答
Sanctions check (personal)
Required by: Low, Normal & High
Yes
No
NA
Ans:
Yes
No
NA
Ans:
清除所选内容
▲Comments / cross-reference to documents
您的回答
OR
Government issued non-photo-ID (Should apply only in exceptional circumstances such as an overseas client with no photo ID)
Required by: Low, Normal & High
Yes
No
NA
Ans:
Yes
No
NA
Ans:
清除所选内容
▲Comments / cross-reference to documents
您的回答
Proof of home address
Required by: Low, Normal & High
Yes
No
NA
Ans:
Yes
No
NA
Ans:
清除所选内容
▲Comments / cross-reference to documents
您的回答
Second supporting document
High risk only
Yes
No
NA
Ans:
Yes
No
NA
Ans:
清除所选内容
▲Comments / cross-reference to documents
您的回答
Sanctions check (personal)
Required by: Low, Normal & High
Yes
No
NA
Ans:
Yes
No
NA
Ans:
清除所选内容
▲Comments / cross-reference to documents
您的回答
OR
Certified copy of proof of individual’s identity
Low, Normal & High
Yes
No
NA
Ans:
Yes
No
NA
Ans:
清除所选内容
▲Comments / cross-reference to documents
您的回答
Certified copy of proof of home address
Low, Normal & High
Yes
No
NA
Ans:
Yes
No
NA
Ans:
清除所选内容
▲Comments / cross-reference to documents
您的回答
Sanctions check (personal)
Low, Normal & High
Yes
No
NA
Ans:
Yes
No
NA
Ans:
清除所选内容
▲Comments / cross-reference to documents
您的回答
Satisfactory result from electronic verification
Low, Normal & High
Yes
No
NA
Ans:
Yes
No
NA
Ans:
清除所选内容
▲Comments / cross-reference to documents
您的回答
Proof of home address
High risk only
Yes
No
NA
Ans:
Yes
No
NA
Ans:
清除所选内容
▲Comments / cross-reference to documents
您的回答
OR
Agreement in place for reliance on third party CDD
Low, Normal & High
Yes
No
NA
Ans:
Yes
No
NA
Ans:
清除所选内容
▲Comments / cross-reference to documents
您的回答
Conclusion
Satisfactory ID obtained?
Yes
No
Ans:
Yes
No
Ans:
清除所选内容
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