Checklist Customer Due Diligence

Company Letterhead

{{company_name}}

{{company_address}}

Phone: {{phone}} | Email: {{email}}

Website: {{website}}

Customer Due Diligence Checklist

Date of Review: {{review_date}}

Customer Name: {{customer_name}}

Account Number/Reference: {{account_number}}

Reviewed By: {{reviewer_name}}

Section 1: Customer Identification and Verification

1.1 Proof of Identity (Individuals):

- Valid Passport/National ID (Copy attached: Yes/No)

- Driver's License (Copy attached: Yes/No)

- Verification Method: {{id_verification_method}}

- Date of Verification: {{id_verification_date}}

1.2 Proof of Address (Individuals):

- Utility Bill (Not older than 3 months) (Copy attached: Yes/No)

- Bank Statement (Not older than 3 months) (Copy attached: Yes/No)

- Other (Specify): {{other_proof_of_address}} (Copy attached: Yes/No)

1.3 Proof of Identity (Entities/Companies):

- Certificate of Incorporation (Copy attached: Yes/No)

- Business Registration Document (Copy attached: Yes/No)

- Memorandum and Articles of Association (Copy attached: Yes/No)

- Share Register/Beneficial Ownership Information (Copy attached: Yes/No)

- Directors' IDs (Copies attached: Yes/No)

- Verification Method: {{entity_id_verification_method}}

- Date of Verification: {{entity_id_verification_date}}

1.4 Source of Wealth/Funds:

- Documented Source (e.g., salary slip, financial statements): {{source_of_funds_documents}}

- Verified: Yes/No

Section 2: Nature of Business and Purpose of Relationship

2.1 Customer's Business/Occupation: {{customer_business_occupation}}

2.2 Expected Nature of Transactions: {{expected_transaction_nature}}

2.3 Purpose of Business Relationship: {{purpose_of_relationship}}

2.4 Confirmation of Business Activities Against Public Information: Yes/No

Section 3: Risk Assessment

3.1 Geographic Risk (e.g., high-risk jurisdictions): {{geographic_risk_assessment}}

3.2 Product/Service Risk: {{product_service_risk_assessment}}

3.3 Customer Type Risk (e.g., PEPs, high-net-worth individuals): {{customer_type_risk_assessment}}

3.4 Transaction Activity Risk: {{transaction_activity_risk_assessment}}

3.5 Overall Risk Rating: {{overall_risk_rating}} (Low/Medium/High)

3.6 Justification for Risk Rating: {{risk_rating_justification}}

Section 4: Ongoing Monitoring Plan

4.1 Frequency of Review: {{review_frequency}} (e.g., Annually, Bi-annually, Event-driven)

4.2 Key Monitoring Triggers: {{monitoring_triggers}}

4.3 Method of Monitoring: {{monitoring_method}}

Section 5: Declaration and Sign-off

I confirm that all due diligence procedures outlined above have been completed to the best of my knowledge and belief, and the information obtained is accurate and compliant with internal policies and relevant regulations.

Name of Officer: {{officer_name}}

Title: {{officer_title}}

Date: {{sign_off_date}}

Signature Block

_____________________________

{{reviewer_name}}

{{reviewer_title}}

Date: {{signature_date}}