沃尔夫斯堡反洗钱调查问卷.pdfVIP

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 due diligence in a manner consistent with the risk profile presented by the . The responsibility for ensuring adequate due diligence, whi ay lude t verification or follow up of the answers and s 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 d 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 ludes a designated officer that is responsible for coordinating and overseeing the AML framework? 3. Has the FI developed written policies ing the Y  N  processes that they have in ce to prevent, detect and report suspicious transactions? 4. In addition to inspections by the ernment Y  N  supervisors/regulators, does the FI have an internal audit function or other t third party that assesses AML policies and practices on a regular basis? 5. Does the FI have a prohibiting accounts/relationships Y  N 