Case File
efta-01372649DOJ Data Set 10OtherEFTA01372649
Date
Unknown
Source
DOJ Data Set 10
Reference
efta-01372649
Pages
1
Persons
0
Integrity
Extracted Text (OCR)
Text extracted via OCR from the original document. May contain errors from the scanning process.
Quarterly Global Banking AMLJNCA Assessment Form
Entity Name:
New Client Adoption Dab.:
CIP Complete Date:
Physical Address:
Date of Birth (For an Individual):
EIN / TIN:
Applied for TIN/EIN: rlycs
Entity Type:
CIP Notification: E yes Eno
OFAC:
Documentary:
D yes Eno
Control Person review
O
Certificate of Incorporation
O
Certificate of Registration
O
Registered Articles of Incorporation or
Association
O
Government Issued Business License
K
Statutes
Non-Documentary
yes
O
Dunn & Bradstreet
O
Lexis/Nexis
EDD
0
yesill no Onta
PEP
ElYesEllE
n°
High Risk Industry
Foreign Financial Institution in a designated country
Qualitative Review of Alert Escalations (PCR/RDC:)
PCR
RDC O yes EL
O yes Ilk
Comments:
110
nia
yes Ono
PCR: Dyes Eno
yesill no
Na
O
By-laws
O
Prospectus
O
Offering Memorandum
O
Plan/Subscription Agreement
ci
Other
O
S&P Directory
O
Other
yesE no
High Risk Country yes E
no D
Dyes
D no
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
CONFIDENTIAL
DB-SDNY-0066441
SDNY GM_00212625
EFTA01372649
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