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Click ‘Get Form’ to open the Politically Exposed Person (PEP) Client Questionnaire in the editor.
Begin by entering your full legal name as listed on your passport in the first field. If you are known by any other name, indicate this and provide the details.
In section two, answer whether you have ever been categorized as a PEP by any financial institution. If yes, provide an explanation for your designation.
Proceed to section three and indicate if you hold a majority interest in any business entity. If applicable, fill in the company name, location, and percentage of interest.
Continue through the form by answering questions regarding trusts, account types, investment strategies, anticipated deposits, income sources, and wealth sources. Ensure all relevant fields are completed accurately.
For questions regarding family members or associates who may qualify as PEPs, check the appropriate boxes and provide necessary details as required.
Finally, review all entries for accuracy before signing and dating the document at the end of the questionnaire.
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When should a politically exposed persons PEP check be conducted?
You must have risk-based procedures in place to identify whether an individual customer or beneficial owner is a PEP. You must carry out the procedures to identify the PEP before providing them with a designated service, or as soon as possible afterwards.
What should you do if the client is a politically exposed person?
You should present the information that the customer may be a PEP and check with the business to see if its the same person. If the business agrees that the customer is a PEP but hadnt originally identified them as one, you should establish how it failed to identify the customer as a PEP.
Who should be considered as a PEP politically exposed person?
Domestic PEPs: Individuals who are or have been entrusted domestically with prominent public functions, for example, heads of state or of government, senior politicians, members of parliament, senior government, judicial or military officials, senior executives of state-owned corporations, important political party
What should be done if the client is a politically exposed person (PEP)?
Politically Exposed Persons (PEPs) Reporting institutions are encouraged to develop internal references or database in identifying family members or close associates of PEPs. Reporting institutions may also refer to public or commercial databases and supplement this with a customers self-declaration.
What precautions should be taken when dealing with individuals holding prominent public position (PEPs)?
PEP screening is crucial because these individuals are at a higher risk of involvement in bribery, corruption, and money laundering due to their position and influence. Failure to conduct proper screening can result in heavy fines for the institution and reputational damage.
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PEP-specific compliance legislation addresses the link between government corruption, money laundering and terrorism financing. Since September 11, 2001, more than 100 countries have changed their laws related to financial services regulation, combating political corruption.
politically exposed person
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person or governmental entity could achieve alone, Dan McMillan said. When the Governor and I convened the task force in late summer, it was under the
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