Get the free Sample Client Due Diligence Form for Corporate Trustees

This document provides guidelines and a structured form for corporate trustees in Hong Kong to carry out client due diligence (CDD) as part of their obligations under anti-money laundering regulations. It includes sections for risk assessment, client identification, verification of beneficial owners, and ongoing monitoring procedures to ensure compliance with best practices in trust management.

How to fill out sample client due diligence

How to fill out sample client due diligence

1. Gather client identification documents such as government-issued ID, passport, or driver's license.
2. Collect proof of address documents like utility bills, bank statements, or lease agreements.
3. Understand the client's business or occupation by obtaining necessary business registration documents, if applicable.
4. Assess the client's risk profile by considering factors like geographic location, business type, and transaction volume.
5. Record the client's information in the due diligence system or form, ensuring accuracy and completeness.
6. Verify the provided information through independent sources or databases.
7. Maintain ongoing monitoring of the client's activity to ensure compliance with standards and regulations.

Who needs sample client due diligence?

1. Businesses offering financial services including banks, credit unions, and investment firms.
2. Real estate agents and agencies involved in transactions.
3. Legal professionals handling client accounts or funds.
4. Accountants and tax preparers dealing with business clients.
5. Any organization regulated by anti-money laundering (AML) laws.

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What is sample client due diligence?

Sample client due diligence refers to the process of gathering and verifying information about a client's identity, business activities, and risk profile as part of regulatory compliance.

Who is required to file sample client due diligence?

Businesses such as financial institutions, real estate companies, and other entities that fall under anti-money laundering (AML) regulations are typically required to file sample client due diligence.

How to fill out sample client due diligence?

To fill out sample client due diligence, collect necessary information about the client, such as identification documents, business registration details, and other risk-related information, then complete the required forms as per regulatory guidelines.

What is the purpose of sample client due diligence?

The purpose of sample client due diligence is to assess and mitigate the risk of fraud and money laundering by ensuring that the identities of clients are verified and monitored.

What information must be reported on sample client due diligence?

Information that must be reported includes the client's name, address, date of birth, identification numbers, and details of the business activities they will be engaged in.