Ongoing Due Diligence Form

Date *

Client Name *

Client/Matter number: *

Send the completed form to: *

Author's name: *

Director *

CLR - Carolyn Ranson
WRH - Wade Hansen
BDG - Bret Gower

AML DETAILS

This matter is: *

Captured
Non-captured

Client Information form(s) received *

Yes - all received
No - some yet to be provided

Individual IDs *

Still current
Some/all expired

Name(s) of individual(s) for whom new ID is required *

Proof of address *

Still at same address
Some/all individuals have moved address

Name(s) of individual(s) for whom new proof of address is required *

If client is an entity, document evidencing formation and details provided to us *

Yes
No - yet to be provided

Company/Trust/Entity name and address: *

Remain the same
Have changed

New name and/or address *

Please obtain updated company extract/trust deed/formation documents

Is there missing information or mistakes in the CDD we've collected for this client?

Yes
No

Explain the CDD information we are missing and what we need to collect

Is Enhanced CDD required (the client is Increased Risk, High Risk or a Trust)?

Yes
No

If yes, you must carry out Enhanced CDD for the new matter

Client Information form(s) received *

Yes - all received
No - some yet to be provided

Individual IDs *

Still current
Some/all expired

Name(s) of individual(s) for whom new ID is required *

Proof of address *

Still at same address
Some/all individuals have moved address

Name(s) of individual(s) for whom new proof of address is required *

If client is an entity, document evidencing formation and details provided to us *

Yes
No - yet to be provided

Company/Trust/Entity name and address: *

Remain the same
Have changed

New name and/or address *

Please obtain updated company extract/trust deed/formation documents

Connected individuals (Directors/Trustees/Controllers etc) *

Remain the same
Have changed

Names of new individuals on whom due diligence must be completed *

Confirm status of Risk Profile Assessment *

No change of circumstances
Change of circumstances/new money laundering red flag

A new Risk Profile Assessment must be completed if there is a change of circumstances.

PLEASE ENTER A NOTE IN THE CDD SECTION OF INFINITY *

Has a PEP check been done on the individuals involved? *

Yes - on all individuals involved
Yes - on some individuals involved
Unsure
No

If Yes, please ensure the PEP report is saved to infinity

Complete this form if CDD information is more than 6 month old.

AML DETAILS

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