I. Does the FI retain records of its training sessions including atte ndance records and relevant training materials used? Date Established: January 1, 1972 5. © 2020function navigateCommand(n){jQuery(CurrentRemoteProxy.targetAppCtx).height(n.params.appPortalHeight); if (/Edge\/12./i.test(navigator.userAgent)){setTimeout(function(){jQuery(CurrentRemoteProxy.targetAppCtx).height(n.params.appPortalHeight+1);},100);}sessionKeeperInstance!=undefined&&sessionKeeperInstance.start();};function ULSSendExceptionImpl(msg, url, line, oCaller){return false;};Banque de Savoie. PREVENTION OF MONEY LAUNDERING QUESTIONNAIRE / FINANCIAL INSTITUTIONS A BENEFICIAL OWNER DECLARATION DÉCLARATION SUR LE(S) BÉNÉFICIAIRE(S) EFFECTIF(S) : The institutions covered by the October 26th 2005 Directive 2005/60 should, in conformity with this Directive, identify and verify the identity of the beneficial owner. General AML Policies, Practices and Procedures: Yes No 1. 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. Give it a shot and see how informed you are. … The quiz below is designed to test out what you know about preventing money laundering. I. Is the AML compliance program approved by the FI’s board or a senior committee? 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. No. If no, please provide regulatory authorities and relevant regulations for each foreign branch/subsidiary below: Country Government Institution Name of Law II. Number of Branches: 120+ … 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 January 2015 1 globeSettle S.A. – Anti-Money Laundering Questionnaire I. 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. Anti-Money Laundering Questionnaire If you answer “no” to any question, additional information can be supplied at the end of the questionnaire. General AML Policies, Practices and Procedures: Yes No 1. . YES. A comprehensive database of more than 15 anti money laundering quizzes online, test your knowledge with anti money laundering quiz questions. Trade based money laundering is an occurrence which shows criminals using legitimate business processes to disguise the underlying criminal activity. Date Completed: March 13 th 2018 3. NFA has developed the following questionnaire to assist firms in meeting that requirement. See regulations 33, 34, 34(1)(d), 35 and 35(5)(a) of the Money Laundering Regulations. QUESTIONS RELATED TO YOUR INSTITUTION´S AML POLICIES AND PRACTICES 5. 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. This questionnaire helps firms to gauge if they are effectively discharging their legal and regulatory obligations to prevent money laundering, terrorist financing and fraud. *, Visuel de contenu éditorial gauche du bloc 1, Visuel de contenu éditorial droite du bloc 1, Visuel de contenu éditorial gauche du bloc 2, Visuel de contenu éditorial droite du bloc 2, Visuel de contenu éditorial gauche du bloc 3, Visuel de contenu éditorial droite du bloc 3, Visuel de contenu éditorial gauche du bloc 4, Visuel de contenu éditorial droite du bloc 4, Visuel de contenu éditorial gauche du bloc 5, Visuel de contenu éditorial droite du bloc 5. NO. Publication of Japanese and Spanish CBDDQ materials . Anti-money laundering and . Anti-Money Laundering Questionnaire I. Full Legal Name of the Financial Institution (FI) 2. Anti-Money Laundering /Anti- Terrorist Financing Questionnaire I. If not, has it registered with an anti-money laundering (AML) supervisor? Date Established: January 1, 1972 5. This process attempts to make funds appear perfectly 'clean' with an apparently legitimate reason for their existence. (ICAEW is the automatic supervisory authority for ICAEW member firms. Anti-money laundering initiatives around the world have led to collaborative efforts between law enforcement, regulatory bodies, trade associations and private businesses. PREVENTION OF MONEY LAUNDERING AND COUNTER-FINANCING TERRORISM QUESTIONNAIRE QUESTIONNAIRE RELATIF A LA PRÉVENTION DU BLANCHIMENT DE CAPITAUX ET DU FINANCEMENT DU TERRORISME Name of the institution: BANQUE DE SAVOIE Address of the institution’s Head Office: 6, Boulevard du Théâtre – 73000 CHAMBERY Legal form: Forme sociale : SA Trade Registration Number: … The form is the first phase in helping you meet the requirements of money laundering law, and your mortgage lender. En poursuivant la navigation sur ce site, vous acceptez l’utilisation de cookies pour vous proposer des services et des offres adaptés à vos centres d’intérêt. De très nombreux exemples de phrases traduites contenant "anti-money laundering questionnaire" – Dictionnaire français-anglais et moteur de recherche de traductions françaises. The questionnaire and supporting materials have been designed to make completion as easy as possible. General AML Policies, Practices and Procedures: Yes No 1. 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. Under the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 (MLR 2017), it is a legal requirement for every accountancy firm to have a documented firm-wide risk assessment. 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. Citi is the leading global bank. GENERAL INFORMATION ABOUT THE APPLICANT 1) Regulatory status of the applicant The applicant is regulated as a: - Bank ☐ - CCP ☐ - CSD ☐ - Investment Firm ☐ October 5, 2020 . For corporate treasurers, dealing with banks is an essential daily task. money laundering laws applicable to your head office? Money laundering is ‘the process by which criminals convert the proceeds of illegal activities into legitimate funds’. 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 … ... Trade Based Money Laundering. Yes 2. So that criminals can use the proceeds of illegal activities without their original source being detected, they will resort to money laundering. General AML Policies, Practices and Procedures: Yes No 1. I. This questionnaire should not cover more than one LE. Anti-Money Laundering Questionnaire I. ​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. Prevention of Money Laundering, Financing of Terrorism and Sanctions and International Financial Countermeasures of the Bankia Group (spanish version). ACCA has created a template with some hints and tips to aid members and their clients in completing a firm-wide risk assessment. What is the current legal framework? To gather the views of citizens and stakeholder on these measures, the Commission launche… Y N 2. Annex 1: - Source of Funds Questionnaire To be completed by prospective buyers. So that criminals can use the proceeds of illegal activities without their original source being detected, they will resort to money laundering. Anti-Money Laundering & Anti-Terrorist Financing Questionnaire: Nam. Citi strives to create the best outcomes for our clients and customers with financial solutions that are simple, creative and responsible. Is the AML compliance program approved by the FI’s board or a senior committee? e of Financial Institution. Money-laundering questions are an unavoidable part of corporates’ relationships with their banks. FCG 3.2.9 13/12/2018. Our online anti money laundering trivia quizzes can be adapted to suit your requirements for taking some of the top anti money laundering quizzes. National Bank Of Canada's Anti Money-Laundering / Anti Terrorism-Financing Questionnaire National Bank of Canada wishes to not only comply with legal and regulatory requirements regarding anti-money laundering and anti-terrorism financing (AML / ATF), but also to play an active role in the fight against money laundering and terrorism financing. 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? 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. Wolfsberg's CBDDQ 170420 V1.3. Customer Information: Legal name of Institution: GARANTI BANK S.A. GFH Compliance & Anti- Money Laundering Due Diligence Questionnaire . * 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. Number of Branches: 120+ … Thank you for your assistance. Money laundering is ‘the process by which criminals convert the proceeds of illegal activities into legitimate funds’. * PREVENTION OF MONEY LAUNDERING AND COUNTER-FINANCING TERRORISM QUESTIONNAIRE QUESTIONNAIRE RELATIF A LA PRÉVENTION DU BLANCHIMENT DE CAPITAUX ET DU FINANCEMENT DU TERRORISME Name of the institution: Caisse d’Epargne et de Prévoyance Grand Est Europe Nom de l’établissement Address of the institution’s Head Office: 1, avenue du Rhin Siège social de … 4b. Corporate Information: 1. Is the AML compliance program approved by the FI’s board or a senior committee? General AML Policies, Practices and Procedures: Yes No 1. 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. 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. Anti-Money Laundering Questionnaire If you answer “no” to any question, additional information can be supplied at the end of the questionnaire. ¥`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. 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. 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. Clearstream's responses to the questionnaire, along with a statement on our AML preparations, are provided in the below documents. money laundering involving the FI’s products and services and internal policies to prevent money laundering? The money laundering offences can include the concealing, disguising, arranging, acquisition, use and possession of the proceeds of criminal activity. Jurisdiction . Corporate Information: 1. General Information 1. Yes ☐ No ☐ 23. 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). 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]. WOLFSBERG NEWS. General AML Policies, Practices and Procedures: Yes No 1. 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. X N 2. X 2. The … If no, please provide regulatory authorities and relevant regulations for each foreign branch/subsidiary below: Country Government Institution Name of Law II. Instructions. The offences are laid down in Part 7 of the Proceeds of Crime Act 2002. Prevention of Money Laundering and Terrorist Financing, gambling, brokerage…,.”(Transposition of the 3rd EU AML Directive 2005/60/CE and Directive 2006/70/CE) (laws and regulations) - European Parliament and Council Rule (EC) No 1781/2006 dated November 15, 2006 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) counter-terrorist financing . The AML/CFT Self-Assessment Questionnaire provides a practical method for firms to focus on the key AML/CFT requirements. Carrying out a risk assessment will help you to: develop policies, procedures and controls to reduce the risk of money laundering It includes questions on your customer due diligence procedures and internal control systems. measures - Belgium. Money laundering allows criminals to change dirty money into clean assets and funds that have no obvious link to criminal activity. Is the AML compliance program approved by the FI’s board or a senior committee? Completed by: Name: Myrna Olvera Title: Senior Vice President, BSA Officer Position: BSA Officer Email: Myrna.Olvera@EastWestBank.com 4. Wolfsberg's CBDDQ 140618 V1.2 Wolfsberg's CBDDQ 140618 V1.2 (Excel Version) Wolfsberg's FCCQ … Y N 2. test. This process attempts to make funds appear perfectly 'clean' with an apparently legitimate reason for their existence. 6.upervision S. Effectiveness and technical compliance. Y N 2. 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. Anti-Money Laundering Questionnaire to ICPAC September 2020 . * 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. The questionnaire is required to be answered on a Legal Entity (LE) Level. measures - Belgium, … 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. We may seek further information or documents from you to verify or explain information given in this form, if it appears necessary. Follow Us. 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. e: Yes . The Wolfsberg Group Anti-Money Laundering Questionnaire 2015/English The Wolfsberg Group consists of the following leading international financial institutions: Banco Santander, Bank of Tokyo-Mitsubishi UFJ, Barclays, Citigroup, Credit Suisse, Deutsche Bank, Goldman Sachs, HSBC, JP Morgan Chase, Société Générale and UBS which aim to develop financial services industry standards, and related products, for Know Your Customer, Anti-Money Laundering … Test. Yes 2. I. Attachments. Prevention of Money Laundering, Financing of Terrorism and Sanctions and International Financial Countermeasures of the Bankia Group (spanish version). On 10 January 2020 changes to the Government's Money Laundering Regulations came into force. Is the AML compliance program approved by the FI’s board or a senior committee? Address : Registered Trading Address: D. at. Anti-Money Laundering Questionnaire If you answer “no” to any question, additional information can be supplied at the end of the questionnaire. In turn, the bank’s legal obligations include complying with strict regulations on money laundering, terrorism and sanctions. Date Completed: March 13 th 2018 3. Is the AML compliance program approved by the FI‟s board or a senior committee? Failure to report suspicious activity can carry a criminal sentence and lead to … 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). Handling higher risk situations – enhanced ongoing monitoring . ion. 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. Any reference in this publication to money laundering will also refer to terrorist financing. If your firm does not meet the definition of an ICAEW member firm … 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? 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. Anti-Money Laundering Questionnaire If you answer “no” to any question, additional information can be supplied at the end of the questionnaire. 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. 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 … Vendor Procurement Due Diligence / ABC Control Framework. Citing reference: FATF (2015), “Supervision” in Anti-money laundering and counter-terrorist financing . 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. Name of Institution Completing Questionnaire: East West Bank 2. The Wolfsberg Group Anti-Money Laundering Questionnaire 2015 Financial Institution Name: Alawwal Bank Location: Dhabab Street P.O. Questionnaire regarding Anti-Money Laundering and Anti-Terrorist Financing Act (Wet ter voorkoming van witwassen en financieren van terrorisme, hereinafter: Wwft) and the Sanctions Act (Sanctiewet 1977, hereinafter: Sw) for Investment Firms 2020 This version has been translated from Dutch into English. 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. money laundering laws applicable to your head office? QUESTIONS RELATED TO YOUR INSTITUTION´S AML POLICIES AND PRACTICES 5. Anti-Money Laundering Questionnaire If you answer “no” to any question, additional information can be supplied at the end of the questionnaire. 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. 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. Anti-Money Laundering Questionnaire. General AML Policies, Practices and Procedures: Yes No 1. La démarche est similaire à celle que préconise le groupe Wolsberg. I. 4b. 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. Anti-Money Laundering & Countering the Financing of Terrorism Questionnaire. Questionnaires Guidance Material Questionnaires. Questionnaire. of Organization or Establishment: Principal Loc. Anti-Money Laundering Questionnaire If you answer “no” to any question, additional information can be supplied at the end of the questionnaire. at. Regulation 18 of the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 (MLR 2017) requires law firms to carry out a written risk assessment to identify and assess the risk of money laundering that they face.. Customer Information: Legal name of Institution: GARANTI BANK S.A. The Wolfsberg Group, an association of eleven global banks, has established a template Anti-Money Laundering (AML) Questionnaire which aims to provide a standardised overview of a financial institution's AML policies and practices. Wolfsberg's CBDDQ 170420 V1.3 (Excel Version) Wolfsberg's FCCQ 170420 V1.1. READ MORE. PREVENTION OF MONEY LAUNDERING QUESTIONNAIRE QUESTIONNAIRE RELATIF A LA PRÉVENTION DU BLANCHIMENT DE CAPITAUX In order to comply with outstanding legislation on institution’s policies and procedures on Money Laundering Prevention, please complete the following questionnaire. 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. Anti-money laundering is the process of financial institutions and other business entities using in-house (sometimes assisted by external parties – more on this to come) methods to address the risks posed by Trade-Based Money Laundering. The Wolfsberg group Anti-money Laundering Questionnaire on 1 Sep 2016 Download; Site footer. 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. Is the AML compliance program approved by the FI’s board or a senior committee? Entity Type (Private/ Public/ Closed/ Open/ Limited or Unlimited Liability/ Government Entity/ Sovereign Wealth Fund/ Supranational/ Multilateral/ Other-please specify): 4. Completed by: Name: Myrna Olvera Title: Senior Vice President, BSA Officer Position: BSA Officer Email: Myrna.Olvera@EastWestBank.com 4. 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. 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. Anti-Money Laundering /Anti- Terrorist Financing Questionnaire I. I. Yes ☐ No ☐ 24. Responses should be provided in the designated spaces in the questionnaire. 2 Introduction ICPAC is the competent Supervisory Authority for the purposes of the Prevention and Suppression of Money Laundering Activities Law, for the professional activities of auditors, external accountants, tax advisors and providers of administrative services. Trading Name (if different): 3. 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