July

Event One

CLE (Continuing Legal Education) seminar on AML/CTF compliance for lawyers

AML/CTF Program Preparation Questionnaire

Name

First Name

Last Name

Company Name

Company Legal Structure (e.g. corporation, partnership, sole proprietorship):

Size (eg approx number of employees)

What types of customers does your company serve ?

Tick all that apply

individuals

corporations

politically exposed persons

high risk jurisdications

Do you have an existing AML/CTF program

Are employees trained in AML/CTF compliance?

Do you conduct customer risk assessments?

Do you perform checks for PEPs or sanctioned individuals?

What identification documents do you currently collect for customers?

Tick all that apply

None

Driver's license

Passport

Medicare card

Business entity docs (eg private company)

Does the company use AML compliance software ?

Indicate yes or no. If yes, add the tools used.

Have you any concerns about the upcoming AML/CTF compliance requirements?