anti-money laundering questionnaire - …（反洗钱调查问卷-u2026）.pdf

The Wolfsberg Group Anti-Money Laundering Questionnaire 2014 Financial Institution Name: Location: This questionnaire acts as an aid to firms conducting due diligence and should not be relied on exclusively or excessively. Firms may use this questionnaire alongside their own policies and procedures in order to provide a basis for conducting client due diligence in a manner consistent with the risk profile presented by the client. The responsibility for ensuring adequate due diligence, which may include independent verification or follow up of the answers and documents provided, remains the responsibility of the firm using this questionnaire. Anti-Money Laundering Questionnaire If you answer “no” to any question, additional information can be supplied at the end of the questionnaire. I. General AML Policies, Practices and Procedures: Yes No 1. Is the AML compliance program approved by the FI’s board or a Y  N  senior committee? 2. Does the FI have a legal and regulatory compliance program Y  N  that includes a designated officer that is responsible for coordinating and overseeing the AML framework? 3. Has the FI developed written policies documenting the Y  N  processes that they have in place to prevent, detect and report suspicious transactions? 4. In addition to inspections by the government Y  N  supervisors/regulators, does the FI client have an internal audit function or other independent third party that assesses AML 5. Does the FI have a policy prohibiting accounts/re