Customer Information: Legal name of Institution: GARANTI BANK S.A. Trade based money laundering is an occurrence which shows criminals using legitimate business processes to disguise the underlying criminal activity. The Wolfsberg group Anti-money Laundering Questionnaire on 1 Sep 2016 Download; Site footer. I. e: Yes . 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) (ICAEW is the automatic supervisory authority for ICAEW member firms. 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 I. 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). This questionnaire should not cover more than one LE. Date Completed: March 13 th 2018 3. Yes 2. This page highlights some specific new areas that firms need to comply with. 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: … Customer Information: Legal name of Institution: GARANTI BANK S.A. Full Legal Name of the Financial Institution (FI) 2. 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 … Thank you for your assistance. 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. Y N 2. ... Trade Based Money Laundering. measures - Belgium, … Money laundering is ‘the process by which criminals convert the proceeds of illegal activities into legitimate funds’. 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. 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. 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. * Handling higher risk situations – enhanced ongoing monitoring . General AML Policies, Practices and Procedures: Yes No 1. QUESTIONS RELATED TO YOUR INSTITUTION´S AML POLICIES AND PRACTICES 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. La démarche est similaire à celle que préconise le groupe Wolsberg. 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. Y N 2. Anti-Money Laundering & Anti-Terrorist Financing Questionnaire: Nam. 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. Instructions. De très nombreux exemples de phrases traduites contenant "anti-money laundering questionnaire" – Dictionnaire français-anglais et moteur de recherche de traductions françaises. 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 … Vendor Procurement Due Diligence / ABC Control Framework. 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. 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]. 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 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. 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? Citi strives to create the best outcomes for our clients and customers with financial solutions that are simple, creative and responsible. A comprehensive database of more than 15 anti money laundering quizzes online, test your knowledge with anti money laundering quiz questions. The AML/CFT Self-Assessment Questionnaire provides a practical method for firms to focus on the key AML/CFT requirements. General AML Policies, Practices and Procedures: Yes No 1. Is the AML compliance program approved by the FI’s board or a senior committee? Yes ☐ No ☐ 24. NFA has developed the following questionnaire to assist firms in meeting that requirement. 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.. FCG 3.2.9 13/12/2018. 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. ACCA has created a template with some hints and tips to aid members and their clients in completing a firm-wide risk assessment. 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. We may seek further information or documents from you to verify or explain information given in this form, if it appears necessary. ion. Follow Us. Anti-Money Laundering /Anti- Terrorist Financing Questionnaire I. GFH Compliance & Anti- Money Laundering Due Diligence Questionnaire . Date Established: January 1, 1972 5. … Yes ☐ No ☐ 23. Anti-Money Laundering Questionnaire If you answer “no” to any question, additional information can be supplied at the end of the questionnaire. 6.upervision S. Effectiveness and technical compliance. Wolfsberg's CBDDQ 170420 V1.3. Anti-money laundering and . In turn, the bank’s legal obligations include complying with strict regulations on money laundering, terrorism and sanctions. Responses should be provided in the designated spaces in the questionnaire. 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. See regulations 33, 34, 34(1)(d), 35 and 35(5)(a) of the Money Laundering Regulations. * 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. Attachments. 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. Anti-Money Laundering Questionnaire I. 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. 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. General AML Policies, Practices and Procedures: Yes No 1. Test. 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. e of Financial Institution. Is the AML compliance program approved by the FI’s board or a senior committee? I. Money-laundering questions are an unavoidable part of corporates’ relationships with their banks. 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. 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 … Anti-Money Laundering Questionnaire If you answer “no” to any question, additional information can be supplied at the end of the questionnaire. Corporate Information: 1. Name of Institution Completing Questionnaire: East West Bank 2. I. Is the AML compliance program approved by the FI’s board or a senior committee? Our online anti money laundering trivia quizzes can be adapted to suit your requirements for taking some of the top anti money laundering quizzes. 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 initiatives around the world have led to collaborative efforts between law enforcement, regulatory bodies, trade associations and private businesses. Yes 2. 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? October 5, 2020 . 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. 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. Money laundering is ‘the process by which criminals convert the proceeds of illegal activities into legitimate funds’. Money laundering allows criminals to change dirty money into clean assets and funds that have no obvious link to criminal activity. Completed by: Name: Myrna Olvera Title: Senior Vice President, BSA Officer Position: BSA Officer Email: Myrna.Olvera@EastWestBank.com 4. The money laundering offences can include the concealing, disguising, arranging, acquisition, use and possession of the proceeds of criminal activity. . at. counter-terrorist financing . READ MORE. Give it a shot and see how informed you are. General AML Policies, Practices and Procedures: Yes No 1. 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. 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 process attempts to make funds appear perfectly 'clean' with an apparently legitimate reason for their existence. 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. Does the FI retain records of its training sessions including atte ndance records and relevant training materials used? If not, has it registered with an anti-money laundering (AML) supervisor? Date Established: January 1, 1972 5. Is the AML compliance program approved by the FI’s board or a senior committee? Is the AML compliance program approved by the FI’s board or a senior committee? 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. The … 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. Anti-Money Laundering & Countering the Financing of Terrorism Questionnaire. Name of Institution Completing Questionnaire: East West Bank 2. Annex 1: - Source of Funds Questionnaire To be completed by prospective buyers. Anti-Money Laundering Questionnaire If you answer “no” to any question, additional information can be supplied at the end of the questionnaire. On 10 January 2020 changes to the Government's Money Laundering Regulations came into force. X 2. I. Citi is the leading global bank. To gather the views of citizens and stakeholder on these measures, the Commission launche… 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 … QUESTIONS RELATED TO YOUR INSTITUTION´S AML POLICIES AND PRACTICES 5. 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. Prevention of Money Laundering, Financing of Terrorism and Sanctions and International Financial Countermeasures of the Bankia Group (spanish version). The questionnaire and supporting materials have been designed to make completion as easy as possible. This process attempts to make funds appear perfectly 'clean' with an apparently legitimate reason for their existence. GENERAL INFORMATION ABOUT THE APPLICANT 1) Regulatory status of the applicant The applicant is regulated as a: - Bank ☐ - CCP ☐ - CSD ☐ - Investment Firm ☐ 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). 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. Entity Type (Private/ Public/ Closed/ Open/ Limited or Unlimited Liability/ Government Entity/ Sovereign Wealth Fund/ Supranational/ Multilateral/ Other-please specify): 4. Anti-Money Laundering Questionnaire. Jurisdiction . Trading Name (if different): 3. Number of Branches: 120+ … Wolfsberg's CBDDQ 140618 V1.2 Wolfsberg's CBDDQ 140618 V1.2 (Excel Version) Wolfsberg's FCCQ … Questionnaire. General AML Policies, Practices and Procedures: Yes No 1. Anti-Money Laundering Questionnaire If you answer “no” to any question, additional information can be supplied at the end of the questionnaire. 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. Date Completed: March 13 th 2018 3. 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. The questionnaire is required to be answered on a Legal Entity (LE) Level. *, 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. Prevention of Money Laundering, Financing of Terrorism and Sanctions and International Financial Countermeasures of the Bankia Group (spanish version). Anti-money laundering initiatives around the world have led to collaborative efforts between law enforcement, regulatory bodies, trade associations and private businesses. I. The Anti-Money Laundering regulations are governed by 4 Acts: The Proceeds of Crime Act, The Serious Organised Crime and Police Act, The Terrorist Act and the Money Laundering Regulations. NO. Citing reference: FATF (2015), “Supervision” in Anti-money laundering and counter-terrorist financing . I. 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. WOLFSBERG NEWS. ¥`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. test. Failure to report suspicious activity can carry a criminal sentence and lead to … Is the AML compliance program approved by the FI‟s board or a senior committee? Questionnaire relatif à la prévention du blanchiment de capitaux et du financement du terrorisme (prevention of money laundering and conter-financing terrorism questionnaire). measures - Belgium. 4b. If your firm does not meet the definition of an ICAEW member firm … Anti-Money Laundering Questionnaire to ICPAC September 2020 . 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. Anti-Money Laundering Questionnaire January 2015 1 globeSettle S.A. – Anti-Money Laundering Questionnaire I. No. If no, please provide regulatory authorities and relevant regulations for each foreign branch/subsidiary below: Country Government Institution Name of Law II. Clearstream's responses to the questionnaire, along with a statement on our AML preparations, are provided in the below documents. Doug Williamson explains how to minimise the pain of answering them. If no, please provide regulatory authorities and relevant regulations for each foreign branch/subsidiary below: Country Government Institution Name of Law II. Wolfsberg's CBDDQ 170420 V1.3 (Excel Version) Wolfsberg's FCCQ 170420 V1.1. The quiz below is designed to test out what you know about preventing money laundering. Any reference in this publication to money laundering will also refer to terrorist financing. General AML Policies, Practices and Procedures: Yes No 1. Address : Registered Trading Address: D. at. money laundering involving the FI’s products and services and internal policies to prevent money laundering? The offences are laid down in Part 7 of the Proceeds of Crime Act 2002. Completed by: Name: Myrna Olvera Title: Senior Vice President, BSA Officer Position: BSA Officer Email: Myrna.Olvera@EastWestBank.com 4. 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. of Organization or Establishment: Principal Loc. The Wolfsberg Group Anti-Money Laundering Questionnaire 2015 Financial Institution Name: Alawwal Bank Location: Dhabab Street P.O. So that criminals can use the proceeds of illegal activities without their original source being detected, they will resort to money laundering. ​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. Anti-Money Laundering Questionnaire If you answer “no” to any question, additional information can be supplied at the end of the questionnaire. 4b. Questionnaires Guidance Material Questionnaires. Number of Branches: 120+ … Y N 2. 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. 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. 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. 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. It includes questions on your customer due diligence procedures and internal control systems. I. General Information 1. Carrying out a risk assessment will help you to: develop policies, procedures and controls to reduce the risk of money laundering money laundering laws applicable to your head office? YES. What is the current legal framework? The form is the first phase in helping you meet the requirements of money laundering law, and your mortgage lender. * money laundering laws applicable to your head office? Corporate Information: 1. Anti-Money Laundering /Anti- Terrorist Financing Questionnaire I. 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. General AML Policies, Practices and Procedures: Yes No 1. Publication of Japanese and Spanish CBDDQ materials . Anti-Money Laundering Questionnaire If you answer “no” to any question, additional information can be supplied at the end of the questionnaire. This questionnaire helps firms to gauge if they are effectively discharging their legal and regulatory obligations to prevent money laundering, terrorist financing and fraud. So that criminals can use the proceeds of illegal activities without their original source being detected, they will resort to money laundering. Is the AML compliance program approved by the FI’s board or a senior committee? 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