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KYC - Docs Checklist

This document lists the Know Your Client (KYC) due diligence documents required for onboarding individual and company clients in accordance with anti-money laundering laws and regulations. For individuals, the documents include identification documents, proof of address, bank and tax records, reference letters, credit reports, and background checks. For companies, the requirements include incorporation documents, ownership and management records, financial statements, bank details, and credit reports. The due diligence aims to establish client profiles and ensure compliance through assessing client backgrounds and risks.

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Aidzeel Iskandar Ahmad
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181 views

KYC - Docs Checklist

This document lists the Know Your Client (KYC) due diligence documents required for onboarding individual and company clients in accordance with anti-money laundering laws and regulations. For individuals, the documents include identification documents, proof of address, bank and tax records, reference letters, credit reports, and background checks. For companies, the requirements include incorporation documents, ownership and management records, financial statements, bank details, and credit reports. The due diligence aims to establish client profiles and ensure compliance through assessing client backgrounds and risks.

Uploaded by

Aidzeel Iskandar Ahmad
Copyright
© © All Rights Reserved
Available Formats
Download as PDF, TXT or read online on Scribd
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LIST OF KNOW YOUR CLIENT (“KYC”) DUE DILIGENCE DOCUMENTS

In line with the local and international Anti-Money Laundering (AML) laws and as reporting institution,
we are duty bound under the law to conduct due diligence on client background before onboarding the
clients required under the laws and guidelines. Due diligence documents and documentary evidence are
necessary to assist us to conduct due diligence on client background and to establish client profile
through risk-based approach as required under the AML regulations.

Due Diligence Documents Required For A Natural Person or Individual

1. Certified True Copy (“CTC”) of Client valid passport


2. CTC of Government issued national identification card
3. Latest Client utility bills that show present resident address of the Client
4. CTC Client personal bank account statement certified by the bank (latest and not more than 3 months
old)
5. CTC client tax resident certificate number or official tax submission document
6. One reference letter from the Client bank
7. One reference letter from members of professional bodies such as Lawyer, Chartered Accountant,
Company Secretary and Auditor
8. CTC of Credit Score Rating or Financial or Net worth report from financial institution or relevant
governmental authority
9. Confirmation letter from local authority such as police or relevant government body indicating the
Client free from any current or previous criminal record
10. Details Curiculum Vitae (CV) of the Client indicating his/her qualification, working experience,
professional achievement, award or affiliation etc.

Due Diligence Documents Required For A Company or Corporation

1. CTC of Certificate of Incorporation


2. CTC of Company Memorandum and Article / Constitution
3. CTC of Register of Directors and Shareholders
4. CTC of Registered Address
5. CTC of register of Shares and Charges
6. CTC company account, management account and audited account report
7. CTC of company bank account
8. Certificate of incumbency issued by the Authority
9. Reliable credit check report on the company
10. Company Profile

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