Anti-Money Laundering and Anti-Terrorist Financing Compliance Questionnaire Form

Anti-Money Laundering and Anti-Terrorist Financing Compliance Questionnaire Form
Answer these questions about your organization’s AML and ATF policies, procedures, and controls. Do not include sensitive personal or financial account information.
Organization and Respondent
Organization Name
Respondent Name and Role
Organization’s Business Activities and Services
Customers and Due Diligence
Countries or regions where the organization operates or serves customers
Other
Types of customers served
Other
Maturity of customer due diligence procedures
Rows Fully implemented Mostly implemented Partially implemented Not implemented Not applicable
Identity verification
Customer risk assessment
Enhanced review for higher-risk customers
Maturity of beneficial ownership procedures
Monitoring, Training, and Controls
Sanctions and watchlist screening procedures
Transaction monitoring and escalation procedures
Staff AML/ATF training frequency and compliance-record retention
Should be Empty:

Select theme:

Rows	Fully implemented	Mostly implemented	Partially implemented	Not implemented	Not applicable
Identity verification
Customer risk assessment
Enhanced review for higher-risk customers