Does your company have a management-approved and documented policy, program, and procedures for Anti-Money laundering and Terrorism Financing?
Has your company a designated Compliance Officer?
Is there an arrangement to independently test your Company's Compliance program by an professional./ Auditor, and whether such testing is carried out regularly?
Has your company an ongoing Compliance training for its officers, employees, and agents?
Has any of the territories/ countries in which your company operates been any time listed by FATF in its NCCT list (Non-Cooperating Countries and Territories), or as a jurisdiction displaying strategic deficiencies in its anti-money laundering and anti-terrorism financing regimes?
Has your company a documented Know Yor Customer (KYC) and Enhanced Due Diligence (EDD) program for its customers, clients, and partners, and correspondents?
Is there a OFAC (US Office of Foreign Assets Control List) filter enabled in your organizations transaction processing system?
Does your company provide any kind of service to shell companies or shell banks?
If your response to any of the questions below is 'Yes', please attach the details and current status of the cases.
Has your company been subject to any regulatory action or penalty in the past?
Has your company been subject to any action by enforcement agencies of your country 9the country in which your company is located)?
Is there any outgoing regulatory action against your company at present?
Has your company been penalized by bankruptcy or any court order at any time?
Has your company's license been revoked or suspended by any regulatory authority in your country?
Do you have a record keeping Policy? (Mention the record retention period as per your policy:
Any other information you wish to provide: