Appendix C1Reliance written assurance to be provided to

1、aml/cft handbookspart 1: appendix c1appendix c1 - reliance: written assurance to be provided to relevant person under article 16 of money laundering orderpart 1: assurance to be provided by obliged personcustomer name (in full)name of obliged personaddress of obliged personname of obliged persons re

2、gulator1. we confirm that we have a business relationship with or have conducted a one-off transaction for the above-named customer of the relevant person.2. we confirm that we have applied the identification measures specified in article 3(2)(a) to (c) of the money laundering (jersey) order 2008 or

3、 identification measures that satisfy former recommendation 5 of the fatf recommendations in the case of an obliged person who is not in jersey. to the above-named customer.3. in particular, we confirm that we have found out the identity of, and obtained evidence of identity for (as applicable): the

4、 above-named customer; each beneficial owner and controller of the above-named customer; each third party for whom the above-named customer is acting (and each beneficial owner and controller of that third party); where a third party is a trust or limited partnership, each person who falls within ar

5、ticle 3(7) of the money laundering order; (and each beneficial owner and controller of that person; and each person purporting to act on behalf of the above-named customer.4. we confirm that we have not relied on any other party to apply any identification measures in relation to the above-named cus

6、tomer, nor have we applied simplified identification measures in relation to the above-named customer.5. we confirm that the information provided herein accurately reflects the customer due diligence information that we hold for the above-named customer.6. we confirm that we are required to keep, an

7、d do keep, a record of evidence of identity obtained under identification measures in relation to the above-named customer.7. we agree to keep a record of evidence of identity obtained under identification measures in relation to the above-named customer until such time as we have either provided th

8、e relevant person with that evidence or have been notified by the relevant person that the relevant person no longer requires that evidence to be kept.8. we agree to provide a record of evidence obtained under identification measures in relation to the above-named customer without delay if requested

9、 to do so by the relevant person, and undertake to exercise best efforts to do so within 5 working days of the request.9. we consent to the relevant person relying on our performance of identification measures and keeping a record of evidence of identity in relation to the above-named customer.10. w

10、e agree to notify the relevant person of changes to the information provided in this certificate. necessary only to the extent that a relevant person intends to place reliance on an obliged person after a business relationship has been established. signature: full name:official position:date: to be

11、completed by relevant personi have reviewed the information provided in this written assurance and confirm that the information provided in relation to the above-named customer complies with the relevant persons customer acceptance policy.signature: full name:official position:date: effective from:

12、12 january 201513part 2: customer business profile (article 3(2) and 3(5) of money laundering order)customer identification information legal status of above-named customer, e.g. individual, trustee of trust, general partner of limited partnership, company, foundation, or partnershipdescription of o

13、wnership and control structure of: above-named customer; each third party on whose behalf the above-named customer acts; and each person who falls within article 3(7) of the money laundering orderinformation for assessing risksource of fundssource of wealth (if applicable)additional relationship inf

14、ormation:express trust: type of trust (e.g. fixed interest, discretionary, testamentary) classes of beneficiaries, including any charitable causes named in the trust instrumentfoundations: classes of beneficiaries, including any charitable objects legal persons and legal arrangements (including expr

15、ess trusts and foundations): ownership structure of any underlying legal persons type of activities undertaken by any underlying legal persons (having regard for the commissions sound business practice policy and trading activities) geographical sphere of activities and assets name of regulator, if

16、applicablehigher risk factorsfactors that are material to risk assessment of the above-named customeris the above-named customer (or any person listed in paragraph 3 of part 1 of this assurance) a pep? yes nohas the above-named customer (or trust in respect of which the above-named customer acts) be

17、en established for the purpose of holding assets for investment purposes? yes nodoes the above-named customer have a relevant connection to an enhanced risk state or higher risk country or territory yes nodoes the above-named customer have nominee shareholders or are bearer shares in issue? yes nopa

18、rt 3.1: individuals who are above-named customers beneficial owners and controllers (article 3(2)(c)(iii) of money laundering order)full name and connectionfull name and connectionfull name and connectionfull name and connectionfull name and connectionpart 3.2: third parties (individuals and legal p

19、ersons) on whose behalf above-named customer acts (article 3(2)(b)(i) of money laundering order)full namefull namefull namefull namefull namepart 3.3: individuals who are beneficial owners and controllers of third parties (legal persons) - listed in part 3.2 (article 3(2)(b)(ii) of money laundering

20、order)full namefull namefull namefull namefull namepart 3.4: each person who falls within article 3(7) of money laundering order of a third party that is a trust or limited partnership (article 3(2)(b)(iii)(b) of money laundering order)full name and connectionfull name and connectionfull name and co

21、nnectionfull name and connectionfull name and connectionpart 3.5: individuals who are beneficial owners and controllers of each person who falls within article 3(7) of money laundering order - listed in part 3.4 (article 3(2)(b)(iii)(c) of money laundering order)full namefull namefull namefull namef

22、ull namepart 3.6: persons purporting to act on behalf of above named customer (article 3(2)(c)(i) of money laundering order)full namefull namefull namefull namefull namepart 3.7: individuals who are beneficial owners and controllers of above-named customer, third parties, or beneficial owners and co

23、ntrollers of each person who falls within article3(7) of money laundering order see 3.1, 3.3 and 3.5individual 1detailslegal name, name(s) currently used, any former legal name(s) (such as maiden name), and name(s) formerly usedprincipal residential address date of birthplace of birthnationalitysexg

24、overnment issued personal identification number or other government issued unique identifierindividual 2detailslegal name, name(s) currently used, any former legal name(s) (such as maiden name), and name(s) formerly usedprincipal residential address date of birthplace of birthnationalitysexgovernmen

25、t issued personal identification number or other government issued unique identifierindividual 3detailslegal name, name(s) currently used, any former legal name(s) (such as maiden name), and name(s) formerly usedprincipal residential address date of birthplace of birthnationalitysexgovernment issued

26、 personal identification number or other government issued unique identifierindividual 4detailslegal name, name(s) currently used, any former legal name(s) (such as maiden name), and name(s) formerly usedprincipal residential address date of birthplace of birthnationalitysexgovernment issued persona

27、l identification number or other government issued unique identifierindividual 5detailslegal name, name(s) currently used, any former legal name(s) (such as maiden name), and name(s) formerly usedprincipal residential address date of birthplace of birthnationalitysexgovernment issued personal identi

28、fication number or other government issued unique identifierpart 4: use of the written assurance and glossarythis proforma assurance is intended to provide a standardised basis for finding out the identity of a relevant persons customer in line with article 3(2)(a) to (c) of the money laundering ord

29、er and the collection of assurances from an obliged person. its use, however, is not mandated. in order to comply with article 3 of the money laundering order, a relevant person may need to collect different or additional information that it considers necessary to enable it to effectively manage ris

30、k. information provided in this written assurance will assist a relevant person to assess the risk that a particular customer may be involved in money laundering or financing of terrorism.beneficial owner and controllerindividuals who ultimately own or exercise control in the case of a legal person

31、that is a company, the beneficial owners and controllers are: directors who ultimately control the company (or individuals who ultimately hold a material interest in directors who are legal persons); and all individuals who ultimately hold a material interest in the capital of the companyin the case

32、 of a legal person that is a foundation, the beneficial owners and controllers are any of the following (or individuals who ultimately hold a material interest in any of the following): the founder, a person (other than the founder of the foundation) who has endowed the foundation, and, if any right

33、s a founder of the foundation had in respect of the foundation and its assets have been assigned to some other person, that person. the guardian (who takes such steps as are reasonable to ensure that the council of the foundation carries out its functions). all council members and, if any decision r

34、equires the approval of any other person, that person. any beneficiary entitled to a benefit under the foundation in accordance with the charter or the regulations of the foundation. any other beneficiary and person in whose favour the council may exercise discretion under the foundation in accordan

35、ce with its charter or regulations and that have been identified as presenting higher riskin the case of a legal person that is a partnership, the beneficial owners and controllers are: general partners, and all limited partners holding a material interest in the capital of the partnership; or indiv

36、iduals who ultimately hold a material interest in these partnersconnectionfor example: 25% shareholder, beneficiary, settlor, or partnercustomerreferences to customer are to a prospective customer (an applicant for business) with whom a business relationship is to be established or one-off transacti

37、on carried outcustomer identification information individual principal residential address date of birth place of birth nationality sex government issued personal identification number or other government issued unique identifiercustomer identification information legal arrangementin the case of a t

38、rust: name of trust date of establishment official identification number (e.g. tax identification number or registered charity number or non-profit organisation number) mailing address of trusteein the case of a limited partnership: name of partnership any trading names date and country or territory

39、 of registration/establishment official identification number registered office/business address mailing address (if different) principal place of business/operations (if different) names of all general partnerscustomer identification information legal personin the case of a legal person that is a c

40、ompany: any trading names date and country or territory of incorporation/registration official identification number registered office address mailing address (if different) principal place of business/operations (if different) names of all directorsin the case of a legal person that is a foundation

41、: date and country or territory of incorporation official identification number business address mailing address (if different) principal place of business/operations (if different) names of all council members and, if any decision requires the approval of any other person, the name of that personin

42、 the case of a legal person that is a partnership: any trading names date and country or territory of registration/incorporation official identification number registered office/business address mailing address (if different) principal place of business/operations (if different) names of all general

43、 partnersenhanced risk statea country or territory in relation to which the fatf has called for the application of enhanced customer due diligence measures. refer to appendix d1 of the aml/cft handbookequivalent businessbusiness carried on outside jersey that: if carried on in jersey would be financ

44、ial services business; may only be carried on in a country or territory outside jersey by a person registered or otherwise under the law of that country or territory to carry on that business; is subject to requirements to forestall and prevent money laundering and financing of terrorism consistent

45、with those in the fatf recommendations in respect of that business; and is supervised for compliance with those requirements by an overseas regulatory authorityfatffinancial action task forcehigher risk country or territoryappendix d2 of the aml/cft handbook provides details of countries and territories that have been identified by reliable and independent third party sources as presenting higher risk in areas that will be relevant to an assessment of money laundering and financing of terr