Ths Financial lnstitution should answer the questionnaire at legal entity The Code defines the standards of conduct that we expect from all of our employees and guides us to make the right decisions when performing our jobs. This Code of Conduct is a statement of Morgan Stanley's commitment to integrity and the highest ethical standards. General AML Policies, Practices and Procedures: Yes No 1. street, 1208.2008 National Bank Ot ENTITY & F list Date or tat. PRODU S S VI Does the Entity offer the following products and page 3 17a 17 al 17 az 17 a3 17 a4 17 as 17 as 17 a7 17 a8 17 a9 ervlces: Corres ndent Bankin Does the Entity offer Correspondent Banking serv'ices to domestic banks? This document is not intended to cover anti-money laundering or know your customer (KYC) compliance of the distributor. The questionnaire is required to be answered on a Legal Entity (LE) Level. Wolfsberg Group Correspondent Banking Due Diligence Questionnaire (CBDDQ) VI .3 3. AML, CTF & SANCTIONS PROGRAMME Page 4 CBDDQ VI 19 19 a 19b 19c Wolfsberg Group Correspondent Banking Due Diligence Questionnaire (CBDDQ) V1.3 37 Does the Entity provide mandatory ABC training to: 37 a Board and senior Committee Management Yes 37 b 1st Line of Defence Yes 37 c 2nd Line of Defence Yes 37 d 3rd Line of Defence Yes 37 e 3rd parties to which specific compliance activities subject to ABC risk have been outsourced Not Applicable Wolfsberg Group an a bran mpl.t.d Joint-Stxk Company Joint Sank the LE its this b. activity client than Entity Joint-Stack Company Stock Tnird, Fifth. The Wolfsberg Group Anti-Money Laundering Questionnaire Author: HSBC Group Subject: Risk and responsibility Keywords: compliance policy statement, risk and responsibility,hsbc, wolfsberg questionnaire Created Date: 7/14/2021 12:37:02 PM Lionel Toledano - FIC - Integrated Bank Practice ten years ago. Wolfsberg's_FCCQ_20210608_FINAL.pdf Author: nbhosale Created Date: 6/18/2021 7:10:04 PM . Wolfsberg Group Financial Crime Compliance Questionnaire (FCCQ) v1.1 25 Does the Entity have policies, procedures and processes to review and escalate potential matches from screening customers and connected parties to determine whether they are PEPs, or controlled by PEPs? Wolfsberg Anti -Money Laundering Questionnaire Corporate Name: Location: If you answer "no" to any question, please ensure t hat an explanation and additional information is supplied at the end of the relevant section I. couared by this questionnaire Lega' Address Fun Prirrury Business Of different of Entity incorporatgon.' establishment Seleø type of ownership and append an ownership if available Pub5CS' Traded (25% Of Shares publicly traded) If Y. indicate the exchange traded on and ticker Government or State Owned by or more privately Owned Y. This means the Financial Institution will answer the questionnaire at an Acces PDF The Wolfsberg Anti Money Laundering Principles For The Wolfsberg Group Anti-Money Laundering Questionnaire Author: HSBC Group Subject: Risk and responsibility Keywords: compliance policy statement, risk and responsibility,hsbc, wolfsberg questionnaire Created Date: 7/14/2021 12:37:02 PM ACAMS Sample Test Questions 2022 Citi strives to create the best outcomes for our clients and customers with financial solutions that are simple, creative and responsible. Citi is the leading global bank. 0.05 mb an act to make provisions for the inspectorate of government in line with chapter thirteen of the constitution and in particular to give effect to the provisions of that chapter as required by articles 225, 226 and 232 of the constitution, to repeal the inspectorate of government . THE WOLFSBERG Anti‐Money Laundering Questionnaire Financial Institution: The Bank of Nova Scotia (Scotiabank) Location: 44 King Street West, Toronto, Ontario, M5H 1H1, Canada I. The Financial Institution should answer the questionnaire at the legal entity level including any branches for which the dient base, products and control model are materially similar to the LE Head Office. responsibility,hsbc, wolfsberg questionnaire Created Date: 7/14/2021 12:37:02 PM In 2000, the political and diplomatic anti-money laundering efforts were complemented by an initiative from the private sector. Version 1.3 of the questionnaire (PDF | Excel) includes the following changesQuestions CBDDQ '14', '70' and FCCQ '27' were changed to refer to 'non-resident' rather than . 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. The questionnaire is required to be answered on a Legal Entity (LE) Level. :roivehuj *urxs &ruuhvsrqghqw %dqnlqj 'xh 'loljhqfh 4xhvwlrqqdluh &%''4 9 'rhv wkh (qwlw\ riihu wkh iroorzlqj surgxfwv dqg vhuylfhv d&ruuhvsrqghqw %dqnlqj Wolfsberg Group Correspondent Banking Due Diligence Questionnaire (CBDDQ) VI.3 3. About; . Wolfsberg Questionnaire Want to save a copy for your records? Wolfsberg Group Correspondent Banking Due Diligence Questionnaire (CBDDQ) VI.3 3. Download PDF. CBDDQ_SGPM 05_04_2021 Author: A305233 Created Date: 6/3/2021 11:07:41 AM . The Wolfsberg Group is an association of over a dozen global banks that work to develop frameworks and guidance for the management of financial crime risks. Wolfsberg Group Correspondent Banking Due Diligence Questionnaire (CBDDQ) VI .2 CBDDQ VI 2. May 2021 pdf 332.25 KB BNP Paribas TCFD Report 2019 pdf 2.23 MB BNP Paribas TCFD Report 2020 pdf 24.22 MB . Stryy, Samb9. Wolfsberg Group Correspondent Banking Due Diligence Questionnaire (CBDDQ) VI .3 3. Wolfsberg Group Corrcspondent Banking Due Diligence Questionnaire (CBODQ) V1.3 t0 Provide Legal Entity ldentifier (LEl) if available NA 11 Provide the full legal name of the ultimate parent (if differenl from the Entity completing the DDO) NA 12 Jurisdiction of licensing authority and regulator of Many financial institutions complete the Wolfsberg Questionnaire to provide customers and shareholders an overview of a financial institution's anti-money laundering program. Download a PDF. Y. a of total Ewe r . Wolfsberg Group Correspondent Banklng Due Diligence Questionnaire (CBDDQ) VI.3 CBDDQ VI.3 19m 24b The Wolfsberg Group 2020 Does the Entity have a programme that sets minimum AML, CTF and Sanctions standards regarding the following components: Appointed Officer with sufficient experience/expertise Cash Reporting Not A CDD EDD Beneficial Ownership Wolfsberg Group Financial Crime Compliance Questionnaire (FCCQ) v1.1 9 Does the Entity have a programme that sets minimum AML, CTF and Sanctions standards regarding the following components: 9 a Appointed Officer with sufficient experience / Entity & ownership 1 Full Legal name Aegon N.V. 2 Append a list of foreign branches which are covered by this questionnaire (if applicable) Included in attachment 3 Full Legal . Wolfsberg Group Correspondent Banking Due Diligence Questionnaire (CBDDQ) V1.3 37 Does the Entity provide mandatory ABC training to: 37 a Board and senior Committee Management Yes 37 b 1st Line of Defence Yes 37 c 2nd Line of Defence Yes 37 d 3rd Line of Defence Yes 37 e 3rd parties to which specific compliance activities subject to ABC risk have been Group Correspondent Banking Diligence Questionnaire (CBOOO) VI S. CTF & SANCTIONS PROGRAMME Does the Entity have a programme that sets minimum AML, CTF and Sanctions standards 19 a 19b 19 c 19 d 19 e 19 f 19 g 19 h 19 i 19 J 19k 191 19 m 19 n 190 23 a 24 a 24b The wolfsbera Group 2020 regarding the following components: Funds should rely on other tools such as the Wolfsberg Financial Wolfsberg Group Correspondent Banking Due Diligence Questionnaire (CBDDQ) V 1.3 the Wolfsberg Group Ahii United Bank K.S.C.P Financial Institution Name: Kuwait Location (Country) . Entity MarXets Mutt' O En a it the tap 201 -sac Total The Financial Institution should answer the questionnaire at the legal entity POLICIES & PROCEDURES Has the Entity documented policies and procedures consistent with applicable AML, CTF & Sanctions regulations and requirements to reasonabl revent detect and re ort. The questionnaire is required to be answered on a Legal Entity (LE) Level. Wolfsberg Group Financial Crime Compliance Questionnaire (FCCQ) v1.1 Financial Institution Name: Location (Country) : © The Wolfsberg Group 2020 Page 1 FCCQ V1.1 No . AML, CTF & SANCTIONS PROGRAMME 19 a 19b 19 c 19 d 19 e 19 f 19 g 19 h 19 i 19j 19k 191 19m 19 n 190 23 a 24 24 b O The Wolfsberg Group 2020 Does the Entity have a programme that sets minimum AML, CTF and Sanctions standards regarding the following components: Credit Cards; Checking & Savings; Auto; Business; Commercial; Technology; Capital One Shopping; Get to Know Us. Download the PDF of Wolfsberg Questionnaire. AML, CTF & SANCTIONS PROGRAMME 19 a 19b 19c 19 d 19e 19 f 19 g 19 h 19 i 19 j 19k 191 19m 19 n 190 23 a 24 a 24 b The Wolfsberg Group 2020 Does the Entity have a programme that sets minimum AML, CTF and Sanctions standards regarding the following components. No # Question Answer 2021 1. questionnaire can be completed for that branch. ; F} I f It I I [he questiqnneire is roquirad to be answered on a Legal Entlty (LE] Level. Wolfsberg CBDDQ 05 May 2021 The Wolfsberg Group is pleased to announce the publication of French language translations of the Glossary, FAQs, and Completion Guidance for the Correspondent Banking Due Diligence Questionnaire (CBDDQ). T he questionnaire is required to be answered on a Legal Entity (LE) Level. Questionnaire This questionnaire is designed to assist fund sponsors/manufacturers in onboarding and ongoing due diligence of distribution channels. Is the aml compliance program approved by the fl's board or a senior committee? General AML Policies, Practices and Procedures: 1. Wolfsberg Anti-Money Laundering Questionnaire Corporate Name: Location: If you answer "no" to any question, please ensure that an explanation and additional information is supplied at the end of the relevant section I. Of Wolfsberg Group Financial Crime Compliance Questionnaire The Hague, March 2021. The Financial Institution should answer the questionnaire at the legal entity Wolfsberg Group Correspondent Banking Due Diligence Questionnaire (CBDDQ) VI .3 2. Wolfsberg-FCCQ-2020_KELER.pdf. ENTITY & OWNERSHIP 1 Full Legal Name Crédit Mutuel Arkéa 2 Append a list of foreign branches which are covered by this questionnaire Network of 383 points of sale including 299 local savings banks located in France 3 Full Legal (Registered) Address Wolfsberg Group Correspondent Banking Due DIiigence Questionnaire (CBDDQ) V1.2 the Wolfsberg Group Financial Institution Name: Location (Country) : TOrklye Flnans KatIilm Bankasi A.~. Wolfsberg Group Correspondent Banking Due Diligence Questionnaire (CBDDQ) VI.3 3. Wolfsberg Group Correspondent Banking Due Diligence Questionnaire (CBDDQ) VI .3 2.
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