Know Your Customer Form - justcompliance.co.uk

1 This form helps identify information you needed to meet the recommendations of the Joint Money Laundering Steering Group. It is vital to know your Customer , and on you may be asked for more details than appear on this sheet. You are looking for evidence to verify the basic details below, and when asked, to confirm the basis of your business relationship with the client and the service you are providing. This process reflects the additional risks associated with certain types of transactions and the fact that you may never have met the this form with the instructions and the specially adapted set of JMLSG notes on the Just Compliance Ltd [ JCL ] web site.

2 If in doubt refer to your MLRO or compliance contact - never guess. I visited the client s home address as ticked above on d d / m m / y y know your Customer FormFull NameDate of BirthAddressWhat do I have to provide? Using the JCL notes, tick the highest category that applies to the work you are doing with your client .Tick the items you have seen. You are expected to keep copy evidence on file. If for any reason you cannot, please explain below. Be sure to enter ID numbers, dates and serial numbers from the documents so that anyone needing to can track back to the specific document you saw. I have not been able to supply copy documents BSupply one government-issued document:Valid (old style) full UK driving licenceRecent evidence of entitlement to a state or local authority funded benefit (including housing benefit and council tax benefit)Tax credit,Pensioneducational or other grant1 [reduced risk]This form not needed - add notes to your new business form - refer to your instructions2 [intermediate risk]Provide one item from box A or two from box B.

3 If you have not met the client face to face, fill out box C3 [increased risk]Provide one item from box A or two from box B and answer the questions in boxes C and D Valid passport Valid photocard driving licence (full or provisional) National Identity card (non-UK nationals)Document details:I have made a home visitInstrument of a court appointment (such as liquidator, or grant of probate)Current council tax demand letter, or statementCurrent bank statement, or credit/debit card statement, issued by a regulated financial sector firm in the UK, EU or similar jurisdiction (but not printed off the internet)Utility bill (but not printed off the internet) Document details.

4 And Firearms certificate or shotgun licence Identity card issued by the Electoral Office for Northern Ireland Primary IDBox ASecondary ID Last Address [if less than 3 mthsat above address]PostcodePostcodeBox CWhy did you not meet with the client?What previous dealings have you or your firm with this client?You may want to complete the Box D in the absence of an established connectionIf not, please confirm the source of funds .Non face-to-face transactions Box CWhy did you not meet with the client?Additional client information Box DHow familiar are you with the client s personal and business circumstances?

5 Given what you know about the client, is this transaction in keeping with their circumstances?What is the source of funds? Can this be verified if asked?NB: larger cases call for evidence of the sourceWhat details do you have about occupation and salary?Adviser declaration Box E I certify that I have used due diligence in verifying the identity and background of my client, and in supplying the copies and extracts from documents given in support. I have done this with due reference to the guidance notes from the Joint Money Laundering Steering Group [ JMLSG ]. I understand that I must continue to be alert for changes in the circumstances of my client, or for activity with respect to business arranged by me which may indicate grounds for concern, which I will report to my money laundering reporting officer [ MLRO ].

6 I am aware that I must not progress any business where I do not have the recommended level of identification or client DatedName Position JUST COMPLIANCE LTD 2015 Other commentsName of Firm FCA Number