CONFIRMATION OF AML/CFT CONTROLS
DECLARATION FORM
General AML/CFT laws and regulations
Company’s Full Legal Name
Money laundering and terrorism financing is considered a crime in your country/
Yes No N/A
jurisdiction.
Our organisation is subject to local and/or international laws and regulations to
Yes No N/A
prevent AML/CFT.
We do have an AML/CFT policy in place in line with the local regulations, and
our AML/CTF compliance program is approved by our Board and/or senior Yes No N/A
management.
Our organisation has and does maintain a legal and regulatory compliance
program that includes a designated officer who is responsible for coordinating Yes No N/A
and overseeing the AML/CTF framework and processes.
Our AML/CFT policies & procedures are applicable to all operations within our
Yes No N/A
organisation including branches and overseas operations (where applicable).
Our organisation is subject to independent monitoring and auditing of compliance
Yes No N/A
controls on a regular basis
Our organisation has and maintains a strong monitoring program for unusual
and potentially suspicious activity that covers funds transfers and monetary Yes No N/A
instruments such as, and not limited to, traveler’s checks, money orders, etc.
Our organisation is not exposed to, either through our own activities or the
activities of customers, to jurisdictions with relatively higher levels of corruption Yes No N/A
or organised crime, and/or deficient AML/CTF controls.
Customer Due Diligence and Risk Assessment
Our organisation has established an adequate customer due diligence process,
Yes No N/A
which requires us to identify the customers and the beneficial owners
Our organisation conducts screening(s) on customers and transactions
against lists of persons, entities, or countries in accordance with government/ Yes No N/A
international bodies’ requirements.
Our organisation has and maintains a process to review and, where appropriate,
Yes No N/A
update customer information in relation to high-risk client information
Our organisation has and maintains policies covering relationships with Politically
Yes No N/A
Exposed Persons (PEPs), their families, and close associates
Our organisation keeps all the records pertinent to customers’ identification and
Yes No N/A
transactions. transactions (If ‘yes’, for how long?
1
AML/CFT COMPLIANCE PROGRAMME
Is there a senior officer or a designated Compliance Officer responsible for
Yes No N/A
your institution’s Anti-Money laundering program?
Does your institution provide AML/CFT training to employees that include
identification and reporting of transactions, different forms of money laundering
Yes No N/A
involving the institution’s products and services, and internal policies to prevent
money laundering?
Does your institution communicate new AML/CFT-related laws or changes
Yes No N/A
to existing AML/CFT-related policies or practices to employees?
Has your institution been subject to any investigation, indictment, conviction, or
Yes No N/A
civil enforcement action related to money laundering and terrorism financing?
Name of person authorized to represent the Company
Additional Comments (if any)
Declaration
We hereby confirm that the above information is accurate and correct to the best of our knowledge and that we have adequate
measures in place to address AML/CFT issues, except if highlighted above. Where a situation warrants further investigation,
we will provide the necessary information to comply with the internal investigations and to fulfill regulatory reporting.
Authorised Officer’s Signature and Company Stamp
Date Designation
