境外金融机构反洗钱调查问卷.doc

Foreign Financial Institution AML Questionnaire 境外金融机构反洗钱调查问卷 Ⅰ. Financial Institution’S Information 金融机构信息 Institution Name: 机构名称： Place of Incorporation: 注册地： Physical Address of your head office: 总部地址： Website Address: 网址： Ⅱ.General AML Policies, Practices and Procedures: 一般的反洗钱政策、操作方式及程序 1. Does the AML compliance program require approval of the FI’s Board or a senior committee thereof? 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. Does the FI have a legal and regulatory compliance program that includes a designated Compliance officer that is responsible for co-ordinating and overseeing the AML program on a day-to-day basis, which has been approved by senior management of the FI? 金融机构是否指定一名合规管理人员，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. Has the FI developed written policies documenting the processes that they have in place to prevent, detect and report suspicious transactions that has been approved by senior management? 金融机构是否有制定具体的书面政策，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，并已经高级管理层批准? 4. In addition to inspections by the government supervisors/regulators, does the FI client have an internal audit function or other independent third party that assesses AML policies and practices on a regular basis? 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. Does the FI have a policy prohibiting accounts/relationships with shell banks (A shell bank is defined as a bank incorporated in a jurisdiction in which it has no physical presence and which is unaffiliated with a regulated financial group.)? 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. Does the FI have policies covering relationships with politically exposed persons consistent with industry best practices? 金融机构是否有与行业最佳操守