Non-Natural Person Details

  • Most recent financial statements or annual report provided?

  • Layer of the structure

  • Layer Number:
  • What type of entity is applying?

  • Layer name if different from purchasing entity

  • An original certified copy of the certificate of incorporation of the applicant company provided?

  • An original certified copy of the Memorandum and Articles of Association provided?

  • Certified copy Change of Name Certificate (if applicable)?

  • Confirmation of Registered Office Provided?

  • An original certified copy of the Register of Shareholders provided?

  • An original certified copy Declarations of Trust in respect of Nominee Shareholders provided?

  • An original certified copy of the Register of Directors provided?

  • A copy of the authorised signatory list for the applicant company detailing all persons empowered to give instructions provided?

  • Layer name if different from purchasing entity

  • Originally certified extracts from the trust deed confirming the following: Name of Trust; Settlor; Trustees; Protector (if applicable); Named Beneficiaries

  • Certified copies of any subsequent deeds of amendment (appointment, retirement, addition, exclusion) provided?

  • Authorised signatory list for the trustee provided?

  • Confirmation of whether the trustee is a financial services business regulated in an Equivalent Jurisdiction provided?

  • Layer name if different from purchasing entity

  • An original certified copy of the “By-Laws” in order to identify members of the board of the foundation and named beneficiaries provided?

  • An original certified copy of the “Statutes” in order to identify the purpose of the foundation provided?

  • An original certified copy of Register of Members provided?

  • Written confirmation of the identity of the Founder provided?

  • Layer name if different from purchasing entity

  • Confirmation of regulated or listed status provided?

  • Authorised signatory list provided?

  • Layer name if different from purchasing entity

  • An original certified copy of Certificate of Incorporation of the LLP provided?

  • An original certified copy of Register of Members provided?

Client Identity Form 1(s)

    Controlling Person Number
  • Client's full name as it appears in passport

  • What relationship does this person have to the structure?

  • Certified copy of passport received?

  • Country of Residence

  • Has the client confirmed their US TIN?

  • Country of Domicile

  • Has the client confirmed their US TIN?

  • Original or Certified Copy of Proof of Address

  • Consent Form Returned

  • Client Identity Form Returned

Know Your Client

  • Have you conducted an Equifax check and does it provide the following information? Please put the applicant score in the notes, together with any comments

  • Has the client been met by someone at LCP? Please provide details in the notes

  • Was the client introduced to LCP by a known person/entity? Please provide details in the notes

  • Have you looked on social media sites for information on the client?

  • Can you confirm their place of work through internet searches? Please provide details in the notes

  • Can you confirm their place of work? Please provide details in the notes

  • Are you happy that no, or limited, adverse articles or details come up in an internet search? Please provide details in the notes

  • Enhanced due diligence undertaken

  • Signed By AML Processor

AML Reviewer

  • Suitable wording used on passport(s)?

  • Do all names and addresses match on the photo IDs and proofs of address

  • Are all of the documents supplied dated within the last 3 months?

  • Suitable proof of address(es)

  • Address matches with CIF(s)

  • Is the source of wealth description proportionate to the proposed investment and supported by other information available and known about the client?

  • Are you happy that NO further investigation is needed following the Equifax/ Watch List check?

  • Have the further enquiries satisfied you that NO further action is required?

  • LCP's Databases

  • Summary of AML Check

  • When does the next review need to be undertaken?

  • Signed by the AML Reviewer

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