Client name:
    Connected company name (if applicable):
    Relevant year:
    File reference:
    Prepared by:
    Prepared date (day/month/year):

    The following information (where applicable / relevant to understanding the client) or cross-reference to the relevant files if information is already recorded elsewhere.

    PART 1
    CUSTOMER DUE DILIGENCE (CDD) / KNOW YOUR CLIENT (KYC) FORM

    SECTION 1A
    1) Client’s date of birth (day/month/year):
    2) Hong Kong identity number:
    3) Passport number:
    4) Passport issuing country:
    5) Client’s home address:
    6) Client’s home telephone number:
    7) Client’s mobile number:
    8) Client’s email address:
    9) Client’s employer / business name:
    10) Client’s business address:
    11) Client’s business telephone number:
    12) Client’s tax reference number:
    13) Client’s place of birth:

    SECTION 1B
    1) Client physically present for identifcation:
    2) What are the proposed services required from us?
    3) What are the client’s main sources of income and capital?
    4) Does the client have any large, complex or unusual transactions and do any transactions favour anonymity?
    5) What is the client’s marital status / history:
    6) Children / other dependants (specify names, date of dirth and sources of income):
    7) Geographical connections (personal and business):
    8) Other relevant information (e.g. past financial difficulties, regulatory issues, politically exposed person (PEP) or close family or known associate of a PEP):

    Conclusion
    AML risk assessment:
    Comments:
    Frequency of monitoring Annual/Other:
    Comments:
    Standard procedures acceptable?
    Comments:

    Review
    Reviewed by:
    Reviewed date (day/month/year):
    CDD / risk profile up to date / appropriate?
    Comments:

    PART 2
    RISK ASSESSMENT FORM

    SECTION 2A
    Does the client meet the requirement for automatic enhanced due diligence as a result of:
    1) Being a case identified as high risk in our firm-wide risk assessment:
    2) Being a politically exposed person (PEP) or a close family member or known close associate of a PEP:
    3) Being in a business relationship or transaction (personally or through a business) with a person established in or with connections to, a high risk third country:
    4) Providing false or stolen ID documentation:
    5) A transaction being complex and unusually large or having an unusual pattern of transactions:
    6) The transaction/(s) having no apparent economic or legal purpose:

    Any ‘yes’ answers will indicate a high risk client for AML purposes:

    SECTION 2B
    Are any of the following risk factors present in your client?
    1) The business relationship is conducted in unusual circumstances:
    2) The client is involved in transactions that favour anonymity:
    3) The client is resident in or has connections with a geographical area of high risk:
    4) You have not met the client:
    5) The client receives payments from unknown or un-associated third parties:
    6) Does the presence of any of these risk factors indicate a higher risk of money laundering or terrorist financing?
    7) Does the individual otherwise present a higher than normal risk of money laundering or terrorist financing?

    SECTION 2C (if applicable)
    Enhanced due diligence to be performed where risk is assessed as high
    1) Obtaining approval of senior management to commence or continue the relationship:
    2) Additional evidence to support verification of identity:
    3) More detailed customer due diligence/ Know Your Client information to better understand the background and financial situation of the client and others party to transactions:
    4) Additional steps to be satisfied that transactions are consistent with the purpose and intended nature of the business relationship:
    5) Increased ongoing monitoring of the business relationship:
    6) Increased scrutiny of transactions:

    PART 3
    IDENTIFICATION / VERIFICATION OF IDENTITY FORM
    SECTION 3A
    Risk assessment for client (see customer due diligence/ Know Your Client and risk assessment forms):
    Identification obtained
    1) Government issued national ID with photo
    Cross-reference to documents (Please upload the national ID copy): Limit:3mb
    Comments:
    2) Passport with photo
    Cross-reference to documents (Please upload the passport copy): Limit:3mb
    Comments:
    3) Holding passport with face photo
    Cross-reference to documents (Please upload the holding passport with face photo): Limit:3mb
    Comments:
    4) Holding passport with face video
    Cross-reference to documents (Please upload the holding passport with face video): Limit:10mb
    Comments:
    5) Proof of home address
    Cross-reference to documents (Please upload the residential address proof such as utility bill / bank statement / driver license / others): Limit:3mb
    Comments:
    6) Sanctions check (personal)
    Cross-reference to documents (Please upload the worldcheck report): Limit:3mb
    Comments:

    Conclusion
    Satisfactory ID obtained?
    Signed by:
    Date (day/month/year):

    THIS IS THE END. WE UNDERSTAND THIS IS A LONG PROCEDURE. WE TRULY APPRECIATE YOUR PATIENCE AND EFFORT. THANK YOU VERY MUCH! PLEASE CLICK SUBMIT TO COMPLETE.