Investor Relations
Corporate Governance
Financials/Report
Financial Highlights
Financial Statement
Corporate Governance
Financials/Report
Financial Highlights
Financial Statement
Disclosures
Annual Report
 
 
      
   
1. Fill-up Parts I and II of the questionnaire completely.
2. For publicly listed/traded bank(s)/financial institution(s) there is no need to accomplish Annex A-1
3. Below are the definition of terms you may encounter in the questionnaire:
  • A Shell Bank is a bank that (1) does not conduct business at a fixed address in a jurisdiction in which the shell bank is authorized to engage in banking activities; (2) does not employ one or more individuals on a full time business at this fixed address; (3) does not maintain operating records at this address, and (4) is not subject to inspection by the banking authority that licensed it to conduct banking activities (cf. BSP Circular No. 436 dated 18 June 2004).

  • Politically Exposed Persons (PEPs) are individuals who are or have been entrusted with prominent public functions, for example Head of State or of government, senior politicians, senior government, judicial or military officials, senior executives of state owned corporations, important political party officials, or their family members or close associates. The definition is not intended to cover middle ranking or more junior individuals in the foregoing categories (cf. FATF Forty Recommendations).
 
Part I Section 1 Domicile and Organization
1. Legal Name of Institution
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2. Corporate Legal Form
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3. SWIFT Address
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4. Principal Place of Business (Address)
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5. Country of your local licensing authority and regulator (if different from above)
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6. Regulatory Authority responsible for anti-money laundering supervision of Institution If none, name of industry supervisor and/or industry code of practice
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7. Name of external auditors
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8. Does your Institution maintain a physical presence in the licensing country? YES [ ] NO [ ]
9. Is your institution an agency, branch subsidiary of a bank with a physical presence?
YES [ ] NO [ ]
Name of affiliate/parent company:
Is affiliate/parent company publicly traded? YES [ ] NO [ ]
If yes, list exchanges and symbols:
Indicate affiliation: agency [ ] branch [ ] subsidiary [ ]
Licensing country of affiliate:
10. Is your institution a publicly traded entity, please refer to Annex A for the list of stock exchanges?
YES [ ] NO [ ]
 If yes, please list the exchanges & symbols:
11. Are there any Politically Exposed Persons among your Institution's ownership structure and executive management? YES [ ] NO [ ]
Authorized Officer/s Responsible for Account/Relationship
Primary Contact
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Secondary Contact
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Telephone/s
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Telephone/s
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Fax
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Fax
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E-mail
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E-mail
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Section 2 Scope of Business Activities

Please list the principal countries in which your institution maintains branches, agencies and subsidiaries. Additionally, please indicate the type of operation and the number of offices or locations. (Please attach additional pages if necessary.)


Country
Type (Branch, Agency, Subsidiary, etc.)
Number
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Please list the principal areas of business in which your institution participates in terms of contribution to revenue.


Principal areas of business activity (Commercial, Private, Corporate, Wholesale, Insurance, etc.)
Approximate percent of revenue
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Part II
Anti-Money Laundering And Anti-Terrorist Financing Controls

Does your Institution offer correspondent services to shell banks?
Yes
No
[ ]
[ ]
Has your Institution implemented an anti-money laundering (AML), combating the financing of terrorism (CFT) and 'know your customer' (KYC) program that is designed to ensure compliance with applicable AML, CFT, and KYC financing laws and regulations? (Please provide Chinatrust (Phils.) Commercial Bank Corp. a copy of your AML, CFT, and KYC Policy Manual).
[ ]
[ ]
If the answer to the preceding question was 'Yes', please answer the following questions:
Does your Institution employ a KYC program that is designed to obtain and verify information regarding your customer?s true identity, source of wealth, economic activity, and the nature of anticipated transactional activity?

If applicable, please describe your Institution's procedures for reviewing and updating customer information. (Please attach additional sheets if necessary).
[ ]
[ ]
Does your Institution ensure that its credit/financial institution customers have an adequate AML, CFT, and KYC policies and procedures?
[ ]
[ ]
Does your Institution's customer identification program require that enhanced due diligence be conducted regarding certain customers that may present a heightened level of money laundering and terrorist financing risk to your institution, such as international private banking and corresponding banking customers from high risk money laundering and terrorist financing jurisdictions (such as non-FATF based customers, Politically Exposed Persons)?
[ ]
[ ]
Does your Institution provide AML, CFT, and KYC training on a periodic basis to those employees who work directly with your customers and those employees who work in other areas that may be exposed to money laundering and terrorist threats?

If applicable, please describe your Institution's AML, CFT, and KYC training program. (Please attach additional sheets if necessary).
[ ]
[ ]
Has your Institution employed a monitoring system of customer account activity/transactions designed to facilitate the identifications of suspicious transactions?

If applicable, please provide an overview of your Institution's procedures for monitoring customer account activity/transactions. (Please attach additional sheets if necessary).
[ ]
[ ]
Has your Institution implemented an independent and periodic internal and external audit review of your institution's compliance with internal AML, CFT, and KYC policies and procedures and relevant laws and regulations?
[ ]
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Is your Institution?s AML, CFT, and KYC program applicable to all the agencies, branches, and subsidiaries of your financial group on a global basis? (This certification of adherence applies to all the agencies, branches, and subsidiaries listed in Annex B)
[ ]
[ ]
Has there been any negative articles or information in the press about your Institution, its officers, directors, employees, owners, or customers that would reflect on the bank's reputation for legal compliance or ethical business practices?
[ ]
[ ]
   
This is the list of the institution's agencies, branches, and subsidiaries to which the certification of adherence in the representation letter applies:

Country
Type (Branch, Agency, Subsidiary, etc.)
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The undersigned, based on his/her best knowledge and belief, certifies that the aforementioned questions were answered considering the existing internal controls of the subject financial institution, and further present an accurate representation of the existing state of the institution's AML, CFT, and KYC internal controls and financial service activities.

Signature
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Completed by
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Position
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Date
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Name of Institution
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Address of Institution
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E-mail
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Annex A


Stock Exchanges

  • Alberta Stock Exchange
  • American Stock Exchange
  • Athens Stock Exchange
  • Australian Stock Exchange
  • Bermuda Stock Exchange
  • Bolsa de Comercio de Buenos Aires
  • Bolsa de Comercio de Santiago
  • Bolsa de Valores de Caracas
  • Bolsa de Valores de Lima
  • Bolsa de Valores de Rio de Janeiro
  • Bolsa de Valores de Sao Paulo
  • Bolsa Mexicana de Valores
  • Bolsas y Mercados Espanoles
  • Boston Stock Exchange
  • Bourse de Luxembourg
  • Bourse de Montreal
  • BSE The Stock Exchange, Mumbai
  • Bucharest Stock Exchange
  • Budapest Stock Exchange Ltd.
  • Chicago Board Options Exchange
  • Chicago Stock Exchange
  • Colombo Stock Exchange
  • Copenhagen Stock Exchange
  • Cyprus Stock Exchange
  • Deutsche Borse Ag
  • Euronext Amsterdam
  • Euronext Belgium
  • Euronext Brussels
  • Euronext Lisbon
  • Euronext Paris
  • HEX Plc
  • Hongkong Exchanges and Clearing
  • Irish Stock Exchange
  • Istanbul Stock Exchange
  • Italian Exchange
  • Jakarta Stock Exchange
  • Jamaica Stock Exchange
  • JSE Securities Exchange, South Africa
  • Korea Stock Exchange
  • Kuala Lumpur Stock Exchange
  • Ljubljana Stock Exchange
  • London Stock Exchange
  • Malta Stock Exchange
  • NASD
  • National Stock Exchange of India, Ltd.
  • National Stock Exchange of Lithuania
  • New York Stock Exchange
  • New Zealand Stock Exchange
  • Osaka Securities Exchange
  • Oslo Bors
  • Philippine Stock Exchange
  • Prague Stock Exchange
  • Shanghai Stock Exchange
  • Shenzhen Stock Exchange
  • Singapore Exchange
  • Stock Exchange of Hongkong
  • Stock Exchange of Tehran
  • Stock Exchange of Thailand
  • Stockholmsb Rsen
  • SWX Swiss Exchange
  • Taiwan Stock Exchange Corp.
  • Tel Aviv Stock Exchange
  • Tokyo Stock Exchange
  • TSX Toronto Stock Exchange
  • Vancouver Stock Exchange
  • Warsaw Stock Exchange
  • Weiner Borse Ag
  • Winnipeg Stock Exchange
If your bank/institution is not listed in any of the above stock exchanges, please accomplish Annex A-1.

Annex A-1
   Ownership and Management Information
If your institution is not a publicly traded entity on one of the stock exchanges listed in Annex A, please list the names of the owners of your institution and their ownership interest. (For purposes of this questionnaire, an 'owner' is any person or juridical entity that, directly or indirectly, owns, controls or has voting power of twenty percent (20%) or more of any class of securities of your institution.)
Name of Institution and Domicile
Ownership Interest (%)
Nature of Ownership (Direct/Indirect)
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If any of the foregoing owners is a juridical entity, please list the names of the shareholders of the legal entity, and their ownership interest in the legal entity. (Please attach additional sheets if necessary). If the second tier shareholders are also juridical entities, the third tier shareholder's names, ownership interests, and nature of ownership shall also be listed. This exercise should continue through the required number of iterations until the true beneficial owners are identified. Note: If any legal entity is publicly held, please indicate only that it is publicly held and the exchange on which shares are traded.
Name of Entity
Shareholders
Ownership Interest (%)
Nature of Ownership (Direct/Indirect)
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Please list the names of the principal officers and directors of your bank, their respective positions, and the number of years they have been employed by the bank.
Name
Position
Years of Service
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Country
Type (Branch, Agency, Subsidiary, etc.)
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The undersigned, based on his/her best knowledge and belief, certifies that the the aforementioned questions were answered considering the existing internal controls of the subject financial institution, and further present an accurate representation of the existing state of the institution's AML, CFT, and KYC internal controls and financial service activities.
Signature
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Completed by
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Position
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Date
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Name of Institution
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Address of Institution
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E-mail
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