境外金融机构反洗钱调查问卷.doc

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1、ForeignFinancialInstitutionAMLQuestionnaire境外金融机构反洗钱调查问卷I•FinancialInstitution^Information金融机构信息InstitutionName:机构名称：PlaceofIncorporation:注册地：PhysicalAddressofyourheadoffice:总部地址：WebsiteAddress:网址：II.GeneralAMLPolicies^PracticesandProcedures:一般的反洗钱政策、操作方式及程序1・DoestheAMLcomplianceprogramrequireapprov

2、aloftheFFsBoardoraseniorcommitteethereof?反洗钱合规计划是否需要取得该金融机构董事会或高层委员会的批准？2.DoestheFIhavealegalandregulatorycomplianceprogramthatincludesadesignatedComplianceofficerthatisresponsibleforco-ordinatingandoverseeingtheAMLprogramonaday-to-daybasis,whichhasbeenapprovedbyseniormanagementoftheFI?金融机构是否指定一名合规管

3、理人员，负责协调及监管反洗钱计划合法合规，并已经取得金融机构高级管理层的批准？3.HastheFIdevelopedwrittenpoliciesdocumentingtheprocessesthattheyhaveinplacetoprevent,detectandreportsuspicioustransactionsthathasbeenapprovedbyseniormanagement?金融机构是否有制定具体的书血政策，详细记录其已实施的程序，以防止、侦察及报告可疑交易活动，并己经高级管理层批准？4.Inadditiontoinspectionsbythegovernmentsupe

4、rvisors/regulators,doestheFIclienthaveaninternalauditfunctionorotherindependentthirdpartythatassessesAMLpoliciesandpracticesonaregularbasis?除了政府监管/立法部门的监察，金融机构客户是否设有一个内部稽核部门，或者是委任其它独立第三方，经常性地评估反洗钱政策及操作规程？5・DoestheFIhaveapolicyprohibitingaccounts/relationshipswithshellbanks(Ashellbankisdefinedasabank

5、incorporatedinajurisdictioninwhichithasnophysicalpresenceandwhichisunaffiliatedwitharegulatedfinancialgroup.)?金融机构是否有政策禁止为空壳银行开立账户及进行业务关系（空壳银行的定义是该行在其注册成立地区没有实际业务，同时它不附属于任何受监管的金融业务集团）？6.DoestheFIhavepoliciescoveringrelationshipswithpoliticallyexposedpersonsconsistentwithindustrybestpractices?金融机构是否有

6、与行业最佳操守一致的政策以监管与政治公众人物的关系？7.DoestheFIhaveappropriaterecordretentionprocedurespursuanttoapplicablelaw?金融机构是否具备根据法律制定的适当文件保存程序？&DoestheFIrequirethatitsAMLpoliciesandpracticesbeappliedtoallbranchesandsubsidiariesoftheFIbothinthehomecountryandinlocationsoutsideofthehomecountry?金融机构是否要求其国内及境外地区的所有分行以及附属机

7、构，遵守其反洗钱政策及操守？HLRiskAssessment风险评估9・DoestheFIhaveariskfocusedassessmentof让scustomerbaseandtransactionsofitscustomers?金融机构是否会对其客户及其交易活动进行专门风险评估？10.DoestheFIdeterminetheappropriatelevelofenhancedduedili