Name of Institution:……………………

Address of Institution:………………….

Question Yes No Comments

1- Has your country established laws designed to ......

prevent money laundering and is your institution

subject to such laws?

2- Is your institution regulated by national authority? ......

If “Yes”, please specify the name of that authority

and registration / license number.

3- Does your institution have a written policy and ......

procedures to combat money laundering and do your

employees know it?

4- Does your institution have a written policy to ensure ......

that reasonable measure are taken to obtain information

about the true identity of customers so as to ensure

legitimate activities?

5- Has your institution established a written policy for ......

reporting suspicious transactions to the appropriate

authorities?

6- Does your institution maintain records on customer ......

identification, account files and correspondence for

a period of at least five years after the closure of the

account or completion of the transaction?

7- Has your institution updated the policy and procedures ......

for any FATF recommendations specially on Terrorist

financing VI , VII and VIII?

8- Has your institution established an employee-training ......

program to raise awareness on money laundering and

help employees identify any suspicious activity?

9- Does your institution have an established audit and ......

compliance review function to test the adequacy of

anti-money laundering policies and procedures?

10- Does your institution cooperate with local authorities ......

so as to permit investigation of suspicious activities as

well as provide, If necessary, evidence for prosecution

of criminal behavior?

11- Does your institution have a policy of not opening ......

accounts for a Shell bank that des not have a physical

presence in any country?

12- Please provide name/s of direct or indirect owner/s who ......

own/s 10% or more of your institution. (Owner means a

person Individual, banks, corporations, partnership,

limited liability company, joint stock company or any

other legal entity)

13- Please provide a list of your Senior Executive Management......

14 - Please provide a list of your current Board Members......

15 – Name of your Compliance / AML officer

Title:……………………………………

Tel.:…………………………………….

E-mail:………………………………….

We hereby undertake to inform you of any change in the above information.

Questionnaire completed by:………………………………………………………

Name & Title :…………………………………………………………………….

Date:……………………………………………………………………………….