The Additional Due Diligence Form serves as a critical tool in risk management and regulatory compliance within the United States. It is typically employed when standard due diligence processes require deeper investigation, such as in high-risk transactions, complex business relationships, or when dealing with politically exposed persons. The form encompasses detailed inquiries about ownership structures, business activities, compliance history, and risk factors. It is designed to meet requirements set forth by various U.S. regulatory bodies and includes specific sections addressing BSA, AML, and KYC requirements. The Additional Due Diligence Form is particularly important in scenarios where enhanced scrutiny is necessary to protect against financial crimes, regulatory violations, or reputational risks.
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1. Entity Information: Basic information about the entity being reviewed, including legal name, structure, and jurisdiction
2. Ownership Structure: Detailed breakdown of beneficial ownership and control
3. Business Activities: Nature of business, primary operations, and revenue sources
4. Risk Assessment: Evaluation of potential risks including regulatory, financial, and operational risks
5. Compliance History: Record of past regulatory compliance and any violations
1. Environmental Impact Assessment: Additional section required for entities in industries with environmental concerns - applicable for manufacturing, energy, or natural resource companies
2. Political Exposure Review: Assessment of political connections and exposure - required for international entities or those with government connections
3. Technology Assessment: Review of technological capabilities and cybersecurity measures - necessary for technology companies or those handling sensitive data
1. Schedule A - Corporate Documentation: Copies of incorporation documents, licenses, and permits
2. Schedule B - Financial Statements: Recent financial reports and statements
3. Schedule C - Compliance Certificates: Relevant regulatory compliance certificates and documentation
4. Schedule D - Background Check Results: Results of background checks on key personnel
5. Schedule E - Risk Matrix: Detailed risk assessment scoring and analysis
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Additional Due Diligence Form
A U.S.-compliant document for comprehensive risk assessment and enhanced due diligence investigation of entities or individuals.
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