KYC Compliance Readiness Survey

Completing the questionnaire below will give you an insight into your preparedness for the new Anti-Money Laundering regulations. We will then review your answers and make recommendations on how we can assist you with your preparations.


Awareness

1. Is your organisation aware of the KYC obligations of AML/CTF Act? Yes No Unsure
2. Does your organisation understand the KYC requirements? Yes No Unsure
 

KYC details and verification

3. Has your organisation determined the information that will be collected for:
    a. individuals? Yes No Unsure
    b. companies? Yes No Unsure
    c. customers who act in capacity of trustee of a trust? Yes No Unsure
    d. associations? Yes No Unsure
    e. registered co-operatives? Yes No Unsure
    f. government bodies? Yes No Unsure
 
4. Has your organisation determined how it will verify the details of:
    a. individuals? Yes No Unsure
    b. companies? Yes No Unsure
    c. customers who act in capacity of trustee of a trust? Yes No Unsure
    d. associations? Yes No Unsure
    e. registered co-operatives? Yes No Unsure
    f. government bodies? Yes No Unsure
 

Risk assessment

5. Has a risk profile of your customers and/or various customer types been completed?
Yes No Unsure
6. Has your organisation determined the details that will be collected and verified for high risk customers and/or high risk customer types?
Yes No Unsure
 

KYC information sources

7. Has your organisation identified all the information sources needed for verifying the details of all of your potential customer types?
Yes No Unsure
8. Does your organisation have access to all the information sources needed for customer verification?
Yes No Unsure
9. Is your organisation planning to have an automated KYC system that integrates KYC information sources into your internal systems?
Yes No Unsure
 

KYC compliance

10. Has your organisation, when dealing with third parties, determined the KYC obligations of each party?
Yes No Unsure
11. Is your organisation on track for meeting compliance obligations? Yes No Unsure

Please fill in all the fields below. (GXS treats your personal information as private and will not pass on any details to a third party.)

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