QuestionBank.csv

linked,Linked Category,New Q Ref,Current Q ref,Section,Risk,Question,Data,Conditional Relationship,Guidance 1,Wording,,A1.02b,1,All,What is the existing Customer's HSBC unique identification number?,Free text: Reference number,"Conditional on ""Referred by another Customer"" response to Q1.07b", 1,Wording,,A1.02b,1,All,What is the referring Customer's HSBC unique identification number?,Free text: Reference number,"Conditional on ""Referred by another Customer"" response to Q1.07b", 1,Wording,,A1.02b,1,All,What is the existing (referring) Customer's HSBC unique identification number?,Free text: Reference number,"Conditional on ""Referred by another Customer"" response to Q1.07b", 3,Wording,,1.13,1,All,What is the country of the HSBC Office/Branch?,Drop down: list of countries,, 3,Wording,,1.13,1,All,What is the country of the HSBC offices where the customerÕs products are booked? (Booking Centre),Drop down: list of countries,, 4,Question Ref,,1.14,1,,What is the name / staff ID number of the RM/ on-boarding staff member? ,Auto populated by system for New Customers and where available for Existing Customers,, 4,Question Ref,,1.17,1,All,"What is the name of the Relationship Manager/ employee onboarding the Customer, and their staff ID number?",Look up Name and Staff ID from System,, 5,Customer Type,,1.02,1,All,"What is the ""Trading As"" or ""Doing Business As"" name of the customer, if different from the Legal name?","Free text: Alternative Customer Names, N/A option availableMultiple names can be added",, 5,Customer Type,,1.02,1,All,"What is the ""Trading As"" or ""Doing Business As"" name of the customer, if different from the Sole Trader's name?","Free text: Alternative Customer Names, N/A option availableMultiple names can be added",, 6,Question Ref,,1.05,1,,Which Line of Business is banking the Customer?,Drop down:RBWM GPB,, 6,Question Ref,,A1.06,1,All,Which Line of Business is providing accounts for the commercial activities of the Customer?,"Drop down: ""CMB"", ""RBWM"", ""GPB""",, 6,Question Ref,,A1.06,1,All,Which Line of Business is banking the Customer?,"Drop down: ""GBM"", ""CMB"", ""GPB""",, 7,Wording,,1.1,1,All,"Select whether the Customer is an Ultimate Parent, Stand Alone, Subsidiary, Branch, Joint Venture or HSBC Affiliate.","Drop down: ""Ultimate Parent"", ""Stand Alone"", ""Subsidiary"", ""Branch"", ""Joint Venture"", ""HSBC Affiliate""""Other""",, 7,Wording,,1.1,1,All,"Select whether the Customer is an Ultimate Parent, Stand Alone, Subsidiary, Branch or Joint Venture.","Drop down: ""Ultimate Parent"", ""Stand Alone"", ""Subsidiary"", ""Branch"", ""Joint Venture"", ""Other""",, 8,Customer Type,,1.01,1,All,What is the full name of the Sole Trader?,Free text: Name of customer,, 8,Customer Type,,1.01,1,All,What is the full legal name of the Customer?,Free text: Name of customer,, 8,Customer Type,,1.01,1,,What is the full name of the Customer? ,"Free text: First name, Middle name(s), Surname","Conditional on ""New Customer on-boarding"" response to Q1.04", 9,Customer Type,,1,1,All,What is the Fund type? ,"Drop-down: Hedge Fund, Mutual Fund, Pension Fund, Unit Investment Trust, Private Equity Fund, Fund-of-Fund, Family Office Established Fund, Private Investment Fund (PIF), Collective Investment Scheme, Other",, 9,Customer Type,,1,1,All,What is the entity type of the Customer? ,"Drop down: Personal Investment Company (PIC), Personal Investment Fund (PIF), Fund, Private Holding Trust, Private FoundationIf 'Fund', 'Private Holding Trust', 'Private Foundation', complete the bolt-on questions for Funds, Trusts or Foundations.",, 9,Customer Type,,T1.2,1,All,What is the type of Trust?,"Drop Down List: (more than one option may be chosen)1) Discretionary Trusts: The Beneficiaries / entitlements are not fixed. 2) Accumulation & Maintenance (A&M): old Trusts similar to discretionary Trusts. 3) Life interest / interest in possession (IIP): Beneficiary receives entitlement income (e.g. not the original capital)4) Testamentary Trusts 5) Bare: income & capital go to the Beneficiary of the account6) Irrevocable Trusts7) Revocable Trusts8) Charitable Trusts 9) Discretionary Irrevocable Trust10) OtherFree text: Other(List is to be expanded based on local jurisdictions)If option 7) Charitable Trusts is selected, stop process and refer to Charities template. ",, 9,Customer Type,,T1.2,1,All,What is the type of Foundation?,"Drop Down List: (more than one option may be chosen)1) Discretionary Foundations: The Beneficiaries / entitlements are not fixed. 2) Life interest / interest in possession (IIP): Beneficiary receives entitlement income (e.g. not the original capital)3) Testamentary Foundations 4) Bare: income & capital go to the Beneficiary of the account5) Irrevocable Foundation6) Revocable Foundation7) Charitable Foundation 8) Discretionary Irrevocable Foundation9) Stiftung10) Privatstiftung11) Stichting12) Anstalt 13) OtherFree text: Other(List is to be expanded based on local jurisdictions)If option 7) Charitable Foundation is selected, stop process and refer to NPO template. ",, 9,Customer Type,,Cap2,1,All,What type of Captive is the Customer?,Drop-down: Pure Captive / Association Captive / Limited Commercial Insurer / Other,, 10,Customer Type,,T1.3,1,All,What is the purpose of the Trust? ,"Check Box: (more than one option may be chosen)- Saving (profit / retained earnings)- Corporate structure (complex business arrangements, most often in the finance and insurance sectors)- Spendthrift protection- Co-ownership- Asset protection- Estate planning- Privacy & confidentiality- Tax planning/efficiency considerations - Wealth Management- Life insurance- Fund structure / unit Trust- Third party transactions - Other (Multiple selection available)",, 10,Customer Type,,T1.3,1,All,What is the purpose of the Foundation? ,"Check Box: (more than one option may be chosen)- Saving (profit / retained earnings)- Corporate structure (complex business arrangements, most often in the finance and insurance sectors)- Spendthrift protection- Co-ownership- Asset protection- Estate planning- Privacy & confidentiality- Wealth Management- Life insurance- Fund structure / unit Foundation- Third party transactions. - Other (Multiple selection available)",, 11,Customer Type,,E2,1,All,State the full legal names of the depositor(s) and recipient(s) of the Escrow Account,Free text box in response to separate depositor and recipient prompts,, 11,Customer Type,,SL 2a. ,1,All,Which parties are involved in the Syndicate? ,"Free text box prompt in response to: Borrower/ Mandated Lead Arranger (""MLA"") /Manager/Bookrunner/ Lender/ Agent/ Security Agent/ Seller/ Buyer ",, 12,Customer Type,,5.01,4,All,Confirm that the identity of the Customer (full legal name) has been verified (and the entity is still in existence).,Drop down: Yes / NoLink to document repository,, 12,Customer Type,,5.01,4,All,Confirm that the identity of the Trust (full name) has been verified.,Drop down: Yes / NoLink to document repository,, 12,Customer Type,,5.01,4,All,"Confirm that the identity of the customer (full name and ""Trading as"" name) has been verified and the business is still in existence.",Drop down: Yes / NoLink to document repository,, 13,Wording,,4.01,4,All,What is the Customer's Registered office address in the country of incorporation / formation?,Business address (std HSBC format) [Country needs to be in separate field],, 13,Wording,,4.01,4,All,What is the Customer's registered address? ,"Registered address (std HSBC format) [Country needs to be in separate field]Complete Table 1N/A option available where there is no registration addressNOTE: Where the Trust does not have a registered address, the registered address of the Trustee(s) should be obtained.",, 13,Wording,,4.01,4,All,What is the Customer's Registered office address in the country of incorporation / formation/registration?,Registered address (std HSBC format) [Country needs to be in separate field]N/A - No registration address,, 14,Combination,,C4.02.a,4,All,What is the Correspondence Address of the Customer?,Free text field ,"Conditional on ""N/A"" response to Q4.01 and C4.02", 14,Combination,,C4.02.a,4,All,What is the correspondence address? ,Free text field ,"Conditional on ""N/A"" response to Q4.01 and C4.02", 14,Combination,,4.14,4,,What is the Customer's correspondence address?,Address (standard HSBC format) ORDropdown: Same as residential address,, 14,Combination,,A34.04,4,All,What is the Correspondence Address of the Customer?,"Correspondence address (std HSBC format) ""Same as registered address"" tick box option available. Free text field if box not ticked.",, 14,Combination,,I4.14,4,All,What is the Sole Trader's correspondence address?,"Address (std HSBC format), ""Same as residential address"" tick box option available.",, 14,Combination,,T7.9,4,All,"What is the Customer's correspondence address, (if it differs from the registered address)?","Correspondence address (std HSBC format)""Same as registered address"" tick box option available., N/A option availableGuidance: If correspondence address differs from the Trustees / POA / Settlors address, escalate to FCC.Complete Table 1",, 15,Wording,,4.07,4,All,"In what year was the company registered, formed, and/ or incorporated?",Drop down: list of years - current to 1900 and pre-1900,, 15,Wording,,4.07,4,All,Date on which the Customer was established?,Date Box: dd/mm/yyyy,, 15,Wording,,4.07,4,All,In what year was the business formed?,Drop down: list of years - current to 1900 and pre-1900,, 16,Combination,,5.01c,4,All,"Provide the link to supporting evidence for Incorporation/ formation information (date, legal name, identification number). If this capability is not available, manually input the data.",Link to document repository,"Conditional on information being provided in response to Q4.08, Q4,07 or Q4.09", 16,Combination,,5.01c,4,All,"Provide the link to supporting evidence for Incorporation/ formation information (date, legal name, identification number). If this capability is not available, manually input the data.",Link to document repository,"Conditional on information being provided in response to Q4,07, OR T1.5, OR Q4.08, OR Q4.09", 16,Combination,,5.01c,4,All,"Provide the link to supporting evidence for formation information (date, legal name, identification number).",Link to document repository,"Conditional on information being provided in response to Q4.08, Q4,07, Q4.09 or QT1.5", 16,Combination,,5.01c,4,All,"Provide the link to supporting evidence for formation/ registration information (date, legal name, identification number). ",Link to document repository,"Conditional on information being provided in response to Q4,07, OR T1.5, OR Q4.08, OR Q4.09", 16,Combination,,5.01c,4,All,"Provide the link to supporting evidence for Incorporation/ formation/ registration information (date, legal name, identification number). If this capability is not available, manually input the data.",Link to document repository,"Conditional on information being provided in response to Q4.08, Q4,07 or Q4.09", 17,Combination,,4.08,4,All,"Document the following, where available:- Government issued ID number or equivalent","Free text: Government issued ID Number or equivalent""N/A"" tick box option available.",, 17,Combination,,4.08,4,All,"Document one of the following: - Identification Number - Registration number; or - Tax identification number, where available","Free text: Identification number, registration number, tax identification numberCapture which number was obtained (identification, registration, or tax id).Checkbox: N/A option availableComplete Table 1",, 17,Combination,,4.08,4,All,Document one of the following:- The Customer's Incorporation number;- The registration ID; or - Equivalent. ,"Free text: Corporate registration/ incorporation number, registration ID (or equivalent)",, 17,Combination,,4.06a,4,,What is the Customer's Government Issued Identification Number?,Drop down:Passport No:: free text box Social Security No:; free text boxDriver's Licence No:; free text boxNational Insurance No:; free text boxTax Identification No:; free text boxIdentification number not available.Other: free text description of other(multi-select),, 18,Wording,,4.09,4,All,Document the name of the Issuing Authority of the incorporation number/registration ID (or equivalent). ,Free text: Name of issuing authority,Response other than N/A in Q4.08, 18,Wording,,4.09,4,All,Document the name of the Issuing Authority of the Identification number/ registration number/ Tax identification number. ,Free text: Name of issuing authority,Response other than N/A in Q4.08, 18,Wording,,4.09,4,All,Document the Issuing Authority of the Government issued ID number or equivalent.,Free text: Name of issuing authority,Response other than N/A in Q4.08, 19,Wording,,A34.01,1,All,What is the country or countries where the Customer is subject to Tax Residence?,Checkbox: List of Countries,, 19,Wording,,I4.19,4,All,What is the country of tax residence of the Customer?,"Check box: List of countries, ""Same as Principle Business address"", and ""Same as residential address"" options available",, 20,Combination,,5.01a,4,All,"Provide the link to supporting evidence for the Customer's Principal Business address. If this capability is not available, manually input the data.",Link to document repository,Conditional on information being provided in Q4.02, 20,Combination,,5.01a,4,All,Provide the link to supporting evidence for the Customer's Principal Operations address.,Link to document repository,Conditional on information being provided in Q4.02, 20,Combination,,5.01a,4,All,Provide the link to supporting evidence for the Customer's Principal Business address.,Link to document repository,Conditional on information being provided in Q4.02, 20,Combination,,C5.01a,4,All,Provide the link to supporting evidence for the Customer's Principal Business address.,Link to document repository,Conditional on information being provided in Q4.02, 21,Combination,,4.02,4,All,What is the Customer's Principal Business Address (if different to registered address)?,"Business address (std HSBC format), ""Same as registered address"" tick box option available. Free text field if box not ticked.[Country needs to be in separate field]",, 21,Combination,,4.02,4,All,What is the Customer's Principal Business Address (if different to registered address)?,"Business address (std HSBC format), ""Same as registered address"" tick box option available.Complete Table 1","Conditional on ""Trading / donations / subscriptions"" response to QT1.1", 21,Combination,,4.02,4,All,What is the customer's Principal Business Address?,"Business address (std HSBC format), ""Same as residential address"" tick box option available.",, 21,Combination,,4.02,4,All,What is the Customer's Principal Operations Address (if different to registered address)?,"Business address (std HSBC format), ""Same as registered address"" tick box option available. Free text field if box not ticked.[Country needs to be in separate field]N/A option available",, 21,Combination,,C4.02,4,All,What is the Customer's Principal Business Address (if different to registered address)?,"Business address (std HSBC format), ""Same as registered address"" tick box option available. Free text field if box not ticked.[Country needs to be in separate field]N/A - No business address",, 22,Wording,,2.01,2,All,What is the FCRR generated by the HSBC FCCRRM?,"Drop Down: Low, Medium, High, SCC",, 22,Wording,,2.01,2,All,What is the FCRR generated by the HSBC FCC-RAM?,"Drop Down: Low, Medium, High SCC",, 23,Q Ref,,2.03,2,,What type of SCC is the Customer?,"Drop down: Type of SCCSCC01 - Politically Exposed Person (PEP) (complete Table 4)SCC02 - PEP Associate (Complete Table 4b)/ Connected Person (Complete Table 4a)SCC03 - CNN (e.g. Charity, Not for profit Organisation)SCC04 - Money Service BusinessSCC05 - Government and state-owned bodiesSCC06 - Gaming/gambling businessSCC07 - Arms dealers and manufacturersSCC08 - Bearer Share CorporationsSCC09 - Entity that poses a reputational riskSCC10 - Offshore Banking LicenceSCC11 - Individual with exposure to Sensitive Sanctioned CountrySCC12 - Individual who own/s operates any SCC business(Multi select) Free Text: Description of ""Other"" response","Conditional on ""SCC"" response to Q2.02", 23,Q Ref,,3b.01b,2,SCC,Select the type of SCC from the drop down list provided.,"Check box: Type of SCC""Owned by High Risk NPO Charity, trade unions, NGO, NPO or Religious Organisation"", ""Owned by High risk government and state-owned bodies"", ""Casino and gaming operation"", ""Defence Equipment"", ""Reputational Risk"", ""PEP"", - if selected, complete Table 8 ""Bearer Shares"", ""Sensitive Countries"", ""Other""Multi-select available","Conditional on ""SCC"" response to Q2.04", 25,Q Ref,,2.03,2,SCC,Provide the justification for the upwards revision of the FCRR. Attach any relevant documentation.,Free Text: justification for revision upwardsLink to document repository,"Conditional on response to Q2.01 being different from the response to Q2.04, AND response to 2.04 not being ""SCC""", 25,Q Ref,,2.05,2,,Provide the rationale for the upwards revision of the risk rating. Attach any relevant documentation.,Free Text: rationale for revision upwardsLink to retained document,"Conditional on response to Q2.01 being different from the response to Q2.02, AND response to Q2.02 not being ""SCC""", 26,Q Ref,,3c.01,3c,,Is the Customer using any High Risk Products?,Auto populated by system based on Answers provided by Customer in Table 6,, 26,Q Ref,,3d.03,3c,All,Is the Customer using any High Risk Products?,Drop Down: Yes / No,, 27,Wording,,4.03,3a,All,What is the Customer's Country of establishment?,Drop down: List of countries,, 27,Wording,,4.03,3a,All,What is the Customer's Country of Incorporation/ registration/ formation?,Autopopulate - Country,, 27,Wording,,4.03,3a,All,"What is the Customer's country of registration, where applicable?","Drop down: list of Countries, N/A option available",, 28,Combination,,3a.01,3a,All,What is the Customer's Country of primary business operations?,Drop down: Autopopulate - List of Countries,, 28,Combination,,3a.01,3a,All,What is the Customer's Country of primary business operations?,Drop down: Autopopulate - List of Countries,, 28,Combination,,3a.01,3a,All,What is the Customer's Country of primary operations?,Drop down: List of Countries,, 28,Combination,,14.6.1,3a,All,What is the Customer's Country of primary business operations?,Drop Down: - List of Country,, 29,Conditionality,,A3.1,3a,All,"Is the Customer's business focus (more than 50% of revenues, purchases, assets held) in a high risk market/ markets?",Drop down: Yes/ No,, 29,Conditionality,,A3.1,3a,All,"Is the Customer's business focus (more than 50% of revenues, purchases, assets held) in a high risk market/ markets?",Drop down: Yes/ No,"Conditional on ""Trading / donations / subscriptions"" response T1.1", 29,Conditionality,,A3.1,3a,All,"Is the Customer's business focus (more than 50% of revenues, purchases, assets held) in a high risk market/ markets?",Drop down: Yes/ No,"Conditional on ""Complex"" response to QA1.13", 30,Wording,,3a.02,3a,All,"Overall, what is the country risk rating for this Customer? ","Autopopulate: ""Low"", ""Medium"", ""High""",, 30,Wording,,3a.02,3a,All,"Overall, what is the country FCRR for this Customer? ","Autopopulate: ""Low"", ""Medium"", ""High""",, 31,Wording,,2.17,3a,All,What is the Customer's Transparency International Corruption Perceptions Index (TI CPI) score for their country of establishment?,Autopopulate: TI CPI score Complete Table 6 for referral to FCC if response is 22 or less,, 31,Wording,,2.17,3a,All,What is the Customer's Transparency International Corruption Perceptions Index (TI CPI) score for their country of incorporation/ registration/ formation?,Autopopulate: TI CPI score Complete Table 6 for referral to FCC if response is 22 or less,, 32,Customer Type,,T3d.2,3d,All,What is the reason for use of the Trust structure?,Free Text: Reason for use of Trust Structure,, 32,Customer Type,,T3d.2,3d,All,What is the reason for use of the Foundation structure?,Free Text: Reason for use of Foundation Structure,, 33,Customer Type,,T3d.3,3d,All,Is the use of the Trust structure consistent with the purpose of the Trust?,"Drop Down: Yes / NoIf ""No"" escalate to FCC. ",, 33,Customer Type,,T3d.3,3d,All,Is the use of the Foundation structure consistent with the purpose of the Foundation?,"Drop Down: Yes / NoIf No, complete Table 6 for referral to FCC",, 34,Wording,,A.3d.1,3d,All,Describe the Customer's principal business activities.,Free text: summary description of the company in addition to the standard industry classification code ,, 34,Wording,,A.3d.1,3d,All,Describe the Customer's principal operations activities.,Free text: summary description of the company,, 35,Wording,,8.07,3d,All,Does the Customer engage in gaming operations or the internet gambling business?,"Drop down: ""Yes - Direct"", ""Yes - Indirect"", ""Yes - Both Direct & Indirect"" or ""No""Drop down: Yes / NoIf ""Yes"", complete Table 6 for referral to FCC",, 35,Wording,,8.07,3d,All,Is the Customer directly or indirectly involved or associated with Gaming Activities?,"Drop down: ""Yes - Direct"", ""Yes - Indirect"", ""Yes - Both Direct & Indirect"" or ""No""Drop down: Yes / NoIf ""Yes"", complete Table 6 for referral to FCC",, 36,Wording,,3d.05b,3d,All,On what basis has the prohibited business or account type been approved? Provide the link to the approval from FCC.,"Drop down: Yes/ NoIf yes, link to document repositoryFree text: reason prohibited business or account type is allowedFree text: reason prohibited business or account type is allowed. ","Conditional on any response to Q3d.04 other than ""N/A""", 36,Wording,,3d.05b,3d,All,Has an exception request been approved by the appropriate LOB Client Selection Committee and/or Reputational Risk Committee?,"Drop down: Yes / NoIf yes, attach the Exception Request and Approvals Received and approve link to document repository Free text: reason prohibited business or account type is allowedFree text: reason prohibited business or account type is allowed. Link to document repository","Conditional on any response to Q3d.04 other than ""N/A""", 37,Wording,,3b.02,3b,All,What is the Legal Entity Structure type as defined in the FCC-RAM?,Drop down: 1. Testamentary Trusts2. Fiduciary Trusts established / administered by GPB PWS Solutions 3. Fiduciary trusts - other ,, 37,Wording,,3b.02,3b,All,What is the Legal Entity Structure type as defined in the FCCRRM?,Drop down: list of legal entity types from FCC-RAM,, 38,Customer Type,,T1.11 ,3e,All,Is the Trust regulated by a locally recognised financial body?,Drop down options: Yes - by Trustee / Trust company or Settlor connectionYes - by industry type of operational Trust No ,, 38,Customer Type,,T1.11 ,3e,All,Is the Customer regulated by a locally recognised financial body?,Drop down options: Yes - by Council Member or Donor/Founder connectionYes - by industry type of operating Foundation No ,, 38,Customer Type,,3e.06,3e,All,Is the Customer/ Partner (include all Partners) a regulated Financial Institution?,Drop down: Yes / No,, 38,Customer Type,,C7a.1,3e,All,"Is the Customer registered or regulated by a government authority (state, federal or international body)?",Drop down: Yes / No,, 39,Combination,,3e.06b,3e,All,Document the name of the regulatory body.,Free text: Name of regulatory body,"Conditional on ""Yes"" response to T1.11", 39,Combination,,3e.06b,3e,All,Document the name of the regulatory body.,Free text: Name of regulatory body,"Conditional on ""Yes"" response to Q3e.06", 39,Combination,,C7a.2,3e,All,What is the Name of the Regulatory (Registration) Body?,Free Text: Name of Regulatory (Registration) Body,"Conditional on ""Yes"" response to QC7a.1", 40,Combination,,3e.06b2,3e,All,State the country of the regulatory body,Drop down: list of countries,"Conditional on ""Yes"" response to T1.11", 40,Combination,,3e.06b2,3e,All,State the country of the regulatory body,Drop down: list of countries,"Conditional on ""Yes"" response to Q3e.06", 40,Combination,,C7a.3,3e,All,What is the Country of the Regulatory (Registration) Body?,"Drop down: List of Countries, multiselect availble","Conditional on ""Yes"" response to QC7a.1", 45,Combination,,8.01,8,All,"Describe the nature of the Customer's business (or the Group's business if Customer is a Subsidiary), including their sources of revenues/ expected income, key products/ services, and where applicable, how the Subsidiary fits into the Group structure.",Free Text: description of nature of business,"Conditional on ""Operating Company"" response to QA8.27", 45,Combination,,8.01,8,All,"Describe the nature of the Customer's business, including their sources of revenues/ expected income, and key products/ services",Free Text: description of nature of business,"Conditional on ""Trading / donations / subscriptions"" response to T1.1", 45,Combination,,8.01,8,All,"Describe the nature of the Customer's business, including their sources of revenues/ expected income, and key products/ services",Free Text: description of nature of business,, 45,Combination,,C8.5,8,All,What is the principle business activity of the organisation? ,Free text: Principle activity of the NPO,"Conditional on ""Yes"" response to QC8.4", 46,Combination,,A8.8,8,All,Is the business or Corporate Group reliant on any one key Customer for more than 50% of the business activities? ,Drop down: Yes / No,"Conditional on ""No"" response to Q3e.06d.2 AND ""No"" response to QA3.3 AND ""No"" response to QA3e.02", 46,Combination,,A8.8,8,All,Is the business or Corporate Group reliant on any one key Customer for more than 50% of the business activities? ,Drop down: Yes / No,, 46,Combination,,A8.8,8,All,Is the business or Corporate Group reliant on any one key Customer for more than 50% of the business activities? ,Drop down: Yes / No,"Conditional on ""Trading / donations / subscriptions"" response to T1.1", 46,Combination,,A8.8,8,All,Is the Foundation reliant on any one key client for more than 50% of the business activities? ,Drop down: Yes / No,"Conditional on ""Trading / donations / subscriptions"" response to T1.1", 47,Combination,,A8.21,8,All,"What is the registered/ ""trading as"" name of the Key Customer?",Free Text: Name,"Conditional on ""Yes"" response to QA8.8", 47,Combination,,A8.21,8,All,"What is the registered/ ""trading as"" name of the key client?","Free Text: Name,""N/A"" - if an individual and refer to FCC","Conditional on ""Trading / donations / subscriptions"" response to T1.1AND Conditional on ""Yes"" response to QA8.8", 47,Combination,,A8.21,8,All,"What is the registered/ ""trading as"" name of the key client (of the Foundation)?","Free Text: Name""N/A"" - if an individual and refer to FCC","Conditional on ""Trading / donations / subscriptions"" response to T1.1AND Conditional on ""Yes"" response to QA8.8", 48,Combination,,A8.9,8,All,What industry is the Customer's Key Customer primarily involved in?,Drop down: list of standard industry classification codes and descriptions ,"Conditional on ""Yes"" response to QA8.8", 48,Combination,,A8.9,8,All,What industry is the key client (of the Trust) primarily involved in?,Drop down: list of standard industry classification codes and descriptions,"Conditional on ""Trading / donations / subscriptions"" response to T1.1AND Conditional on ""Yes"" response to QA8.8 AND NOT ""N/A"" response to A8.21", 48,Combination,,A8.9,8,All,What industry is the Key Customer primarily involved in?,Drop down: list of standard industry classification codes and descriptions ,"Conditional on ""Yes"" response to QA8.8", 48,Combination,,A8.9,8,All,What industry is the key client (of the Foundation) primarily involved in?,Drop down: list of standard industry classification codes and descriptions,"Conditional on ""Trading / donations / subscriptions"" response to T1.1AND Conditional on ""Yes"" response to QA8.8 AND NOT ""N/A"" response to A8.21", 49,Combination,,A8.2,8,All,What are the Foundation's key customer types?,Free Text: Customer's Key customer type,"Conditional on ""Trading / donations / subscriptions"" response to T1.1", 49,Combination,,A8.2,8,Medium/ High/ SCC,What are the Customer's key customer types?,Free Text: Customer's Key customer type,"Conditional on ""Operating Company"" response to QA8.27", 49,Combination,,A8.2,8,All,What are the Customer's key customer types?,Free Text: Customer's Key customer type,"Conditional on ""Trading / donations / subscriptions"" response to T1.1", 49,Combination,,A8.2,8,All,What are the Customer's key customer types?,Free Text: Customer's Key customer type,, 49,Combination,,A8.16,8,Low,What are the Customer's key customer types?,Free Text: Customer's Key customer type,"Conditional on ""No"" response selected to Q3e.06d.2 AND ""No"" response to QA3.3 AND ""No"" response to QA3e.02", 50,Combination,,8.02,8,All,What is the Customer's approximate total annual revenue?,Free text: Total revenue,"Conditional on ""Annual revenue"" response to Q8.02a", 50,Combination,,8.02,8,All,What is the Customer's approximate total annual revenue?,Free text: Total revenue,"Conditional on ""Trading / donations / subscriptions"" response to T1.1AND conditional on ""Annual Revenue"" response to Q8.02a", 50,Combination,,C8.13,8,All,"What is the approximate total annual revenue (including donations), or the total asset balance of the Customer [or, for start up, annual expected level of revenue / donations]?",Free text: Total revenue or asset balance,, 51,Combination,,A8.22,8,All,What is the approximate size of the Customer's Assets Under Management?,Free Text: Number,"Conditional on ""Asset Under Management"" response to Q8.02a", 51,Combination,,A8.22,8,All,What is the approximate size of the Customer's Assets Under Management?,Free Text: Number,"Conditional on ""Trading / donations / subscriptions"" response to T1.1 AND conditional on ""Assets under management"" response to Q8.02a", 51,Combination,,A8.22,8,All,What is the approximate size of the Trust's Assets Under Management?,Free Text: Number,"Conditional on ""Trading / donations / subscriptions"" response to T1.1 AND conditional on ""Assets under management"" response to Q8.02a", 52,Combination,,8.02f,8,All,"Select the source of the key financial data from the drop down list provided, and attach the link to the source of information.","Drop down: ""Annual Audited reports and accounts"", ""Unaudited report and accounts"", ""Bank statements"", ""Tax returns"", ""Other""Link to document repository",, 52,Combination,,8.02f,8,All,"Select the source of the key financial data from the drop down list provided, and attach the link to the source of information.","Drop down: ""Annual Audited reports and accounts"", ""Unaudited report and accounts"", ""Bank statements"", ""Other""Link to document repository","Conditional on ""Trading / donations / subscriptions"" response to T1.1", 52,Combination,,8.02f,8,All,Select the source of the key financial data from the drop down list provided.,"Drop down: ""Annual Audited reports and accounts"", ""Unaudited report and accounts"", ""Bank statements"", ""Tax returns"", ""Other""Link to document repository","Conditional on ""Trading / donations / subscriptions"" response to T1.1", 53,Wording,,8.03,8,All,What is the name of the Customer's audit or accounting firm?,"Free Text: Name of auditing firm or Accountant, ""Internal accounts prepared by the Customer"" option available","Conditional on ""Annual audited report and accounts"" or ""Unaudited report and accounts"" Response to Q8.02f", 53,Wording,,8.03,8,All,What is the name of the customer's accountant/ accounting firm?,"Free Text: Name of accounting firm or Accountant, ""Internal accounts prepared by the Customer"" option available","Conditional on ""Annual audited report and accounts"" or ""Unaudited report and accounts"" Response to Q8.02f", 54,Combination,,A8.3,8,All,"Confirm that table 1.2 has been completed capturing Countries where purchases, revenues and assets held are greater than 10% at either the group or legal entity level.",Drop down: Yes/ No/ Threshold not reached,, 54,Combination,,A8.3,8,All,"Confirm that table 1.2 has been completed capturing Countries where purchases, revenues and assets held are greater than 10% at either the group or Customer level.",Drop down: Yes/ No/ Threshold not reached,"Conditional on ""Trading / donations / subscriptions"" response to T1.1", 54,Combination,,A8.3,8,All,"Confirm that table 1.2 has been completed capturing Countries where purchases, revenues and assets held are greater than 10% at either the group or Customer level.",Drop down: Yes/ No/Threshold not reached,"Conditional on a response other than ""Trade Union"" response to QC8.1", 54,Combination,,A8.3,8,All,"Confirm that table 1.2 has been completed capturing countries where purchases, revenues and assets held are greater than 10%.",Drop down: Yes/ No/ Threshold not reached,"Conditional on ""Complex"" response to QA1.13", 55,Combination,,8.19,8,All,What is the approximate number of employees?,"Drop Down: Number""0"", ""1-5"", ""6-10"", ""11-20"", ""21-50"", ""51-100"", ""101-500"", ""501-1000"", ""1001-5000"", ""5001-10000"", ""10000+""","Conditional on ""Trading / donations / subscriptions"" response to T1.1", 55,Combination,,8.19,8,All,What is the approximate number of employees in the company?,"Drop Down: Number""0"", ""1-5"", ""6-10"", ""11-20"", ""21-50"", ""51-100"", ""101-500"", ""501-1000"", ""1001-5000"", ""5001-10000"", ""10000+""","Conditional on ""No"" response to Q3e.06d.2 AND ""No"" response to QA3.3 AND ""No"" response to QA3e.02", 55,Combination,,8.19,8,All,What is the approximate number of employees in the company?,"Drop Down: Number""0"", ""1-5"", ""6-10"", ""11-20"", ""21-50"", ""51-100"", ""101-500"", ""501-1000"", ""1001-5000"", ""5001-10000"", ""10000+""","Conditional on ""Trading / donations / subscriptions"" response to T1.1", 55,Combination,,8.19,8,All,What is the approximate number of employees in the company?,"Drop Down: Number""0"", ""1"", ""2"", ""3"", ""4-5"", ""6-10"", ""11-20"", ""21-50"", ""51-100"", ""101-500"", ""500+""",, 55,Combination,,A8.31,8,All,What is the approximate number of volunteers in the organisation?,"Drop Down: Number""0"", ""1-5"", ""6-10"", ""11-20"", ""21-50"", ""51-100"", ""101-500"", ""501-1000"", ""1001-5000"", ""5001-10000"", ""10000+""","Conditional on ""Yes"" response to C8.14", 55,Combination,,A8.31,8,High/ SCC,What is the approximate number of employees in the company?,"Drop Down: Number""0"", ""1-5"", ""6-10"", ""11-20"", ""21-50"", ""51-100"", ""101-500"", ""501-1000"", ""1001-5000"", ""5001-10000"", ""10000+""","Conditional on ""Yes"" response to QA3.3 OR ""Yes"" response to Q3e.06d.2 OR ""Yes"" response to QA3e.02", 56,Wording,,C8.11,8,All,How are membership dues collected?,Free text,"Conditional on ""Membership Dues"" response to A8.14 OR A8.15", 56,Wording,,C8.11,8,All,How are membership fees collected?,Free text,"Conditional on ""Membership Dues"" response to A8.14 OR A8.15", 57,Customer Type,,9.05n.s,9a,All,Provide evidence of the Settlor's ownership structure where Settlor is a Business.,Link to document repository,"Response ""Yes"" to T11.1 ", 57,Customer Type,,9.05n.s,9a,All,Provide evidence of the Founder's ownership structure where the Founder/Donor is a Business.,Link to document repository,"Response ""Yes"" to T11.1 ", 57,Customer Type,,9.05n.s,9a,All,Provide evidence of the Founder's/ Donor's ownership structure where Founder/Donor is a Business.,Link to document repository,"Response ""Yes"" to T11.1 ", 58,Combination,,9.02.s,9,All,"Select where the ownership structure information has been obtained from, using the check box list provided.",Check Box: List of acceptable sources,"Response ""Yes"" to T11.1 ", 58,Combination,,9.02.s,9a,All,Select where the ownership structure information has been obtained from.,Check Box: List of acceptable sources,"Response ""Yes"" to T11.1 ", 58,Combination,,9.02,9,All,"Select where the ownership structure information has been obtained from, using the check box list provided.",Check Box: List of acceptable sources,, 59,Customer Type,,A9.1.s,9a,All,Is the Settlor's structure considered complex?,"Drop down: Yes / NoIf ""Yes"", complete Table 6 for referral to FCC","Response ""Yes"" to T11.1 ", 59,Customer Type,,A9.1.s,9a,All,Is the Founder's structure considered complex?,"Drop down: Yes / NoIf ""Yes"", complete Table 6 for referral to FCC","Response ""Yes"" to T11.1 ", 59,Customer Type,,A9.1.s,9a,All,Is the Founder's/Donor's structure considered complex?,"Drop down: Yes / NoIf ""Yes"", complete Table 6 for referral to FCC","Response ""Yes"" to T11.1 ", 59,Combination,,A9.1,9,All,Is the Customer's structure considered complex?,"Drop down: Yes / NoIf ""Yes"", complete Table 6 for referral to FCC",, 60,Conditionality,,A9.2,9,All,"If the ownership structure is considered complex, determine the reasoning/ justification for this.",Free Text: Reason for ownership complexity,"Conditional on ""Yes"" response to A9.1", 60,Conditionality,,A9.2.s,9,All,"If the ownership structure is considered complex, determine the reasoning/ justification for this.",Free Text: Reason for ownership complexity,"Response ""Yes"" to T11.1 ANDConditional on ""Yes"" response to A9.1.s", 67,Wording,,C10a.3,10a,All,Confirm that Tables 2.1b & 2.1c have been completed for each Donor/ Grantor who contributes 5% or more (where 5% is equals to or exceeds US$10k or equivalent local currency) to the value of the charity. ,Instruction: Complete Table 2.1b and Table 2.1c,"Conditional on ""Donations"" OR ""Grants"" response to QA8.15.", 67,Wording,,C10a.3,10c,All,Confirm that Tables 2.1b & 2.1c have been completed for for each Donor/ Grantor who contributes 5% or more (where 5% is equals to or exceeds US$10k or equivalent local currency) to the value of the NPO. ,Instruction: Complete Table 2.1b and Table 2.1c,"Conditional on ""Donations"" OR ""Grants"" response to QA8.15.", 68,Wording,,C10a.4,10c,All,"If a Government and State-Owned Bodies (GSB) has been identified as a Stakeholder/ Donor, are there any stipulations relating to grants/ donations received by the charity NPO?","Drop down: Yes/NoIf ""Yes"", complete Table 6 for referral to FCC including details of stipulations relating to grants/donations. ",, 68,Wording,,C10a.4,10c,All,"If a Government and State-Owned Bodies (GSB) has been identified as a Stakeholder/ Donor, are there any stipulations relating to grants/ donations received by the NPO?","Drop down: Yes/NoIf ""Yes"", complete Table 6 for referral to FCCIf ""Yes"", complete Table 6 for referral to FCC, including details of stipulations relating to grants/donations.",, 68,Wording,,C10a.4,10c,All,"If a Government and State-Owned Bodies (GSB) has been identified as a Founder/ Donor, are there any stipulations relating to grants/ donations received by the NPO?","Drop down: Yes/NoIf ""Yes"", complete Table 6 for referral to FCC, including details of stipulations relating to grants/dontions.",, 69,Wording,,T9.1,10,All,What is the number of Settlors? ,Drop Down: List of numbers 1-100,, 69,Wording,,T9.1,10,All,What is the number of Founders? ,Drop Down: List of numbers 1-100,, 69,Wording,,T9.1,10,All,What is the number of Founders/ Donors? ,Drop Down: List of numbers 1-100,, 70,Wording,,T9.3b.1,10,All,Complete the Settlors table 2 with the requested information for all Settlors and indicate in the table if the Settlor is deceased. ,Instruction: Complete Table 2,"Conditional on response ""GPB"" response to A1.06", 70,Wording,,T9.3b.1,10,All,Complete table 2 with the requested information for all Founders and indicate in the table if the Founder is deceased. ,Instruction: Complete Table 2,"Conditional on response ""GPB"" response to A1.06", 70,Wording,,T9.3b.1,10,All,Complete table 2 with the requested information for all Founders/Donors and indicate in the table if the Founder/Donor is deceased.,Instruction: Complete Table 2,"Conditional on response ""GPB"" response to A1.06", 71,Wording,,T9.3b,10,All,"Complete the Settlors table 2 with the requested information for each Settlor with a 10% or more contribution in the Trust, and indicate in the table if the Settlor is deceased. ",Instruction: Complete Table 2,"Conditional on response other than ""GPB"" response to A1.06", 71,Wording,,T9.3b,10,All,"Complete table 2 with the requested information for each Founders with a 10% or more contribution in the Foundation, and indicate in the table if the Founder is deceased. ",Instruction: Complete Table 2,"Conditional on response other than ""GPB"" response to A1.06", 71,Wording,,T9.3b,10,All,"Complete table 2 with the requested information for each Founders/Donors with a 10% or more contribution in the Foundation, and indicate in the table if the Founder/Donor is deceased.",Instruction: Complete Table 2,"Conditional on response other than ""GPB"" response to A1.06", 72,Wording,,T9.15,10,All,"If the name of the Settlor have changed, document previous names. ",Free Text: Document previous names of the Settlor,(Question to be prompted more than once if multiple Settlors captured in T9.3b or T9.3b.1 T9.1 are noted. Question should be asked for each identified Settlor), 72,Wording,,T9.15,10,All,"If the name of the Founder has changed, document previous name(s). ",Free Text: Document previous names of the Founder/DonorComplete table 2,"(Question to be prompted more than once if multiple Founders / Donors captures in T9.1 , T9.3b or T9.3b.1). ", 72,Wording,,T9.15,10,All,"If the name of the Founder/ Donor has changed, document previous name(s). ",Free Text: Document previous names of the Founder/DonorComplete table 2,"(Question to be prompted more than once if multiple Founders / Donors captured in T9.1, T9.3b or T9.3b.1).", 73,Wording,,T9.4,10,All,What is / was the relationship of the Settlor to the Beneficiary ? ,"Drop down options: Family member Business partnerFriend Anonymous donor Business of employment Company group Other (if other selected, free text required). If ""Anonymous Donor"" selected, free text explanation required, and refer to Compliance.",, 73,Wording,,T9.4,10,All,What is / was the relationship of the Founder to the Beneficiary? ,"Drop down options: Family member Business partnerFriend Anonymous donor Business of employment Company group Other (if other selected, free text required). If ""Anonymous Donor"" selected, free text explanation required, and refer to FCC",, 73,Wording,,T9.4,10,All,What is / was the relationship of the Founder/ Donor to the Beneficiary? ,"Drop down options: Family member Business partnerFriend Anonymous donor Business of employment Company group Other (if other selected, free text required). If ""Anonymous Donor"" selected, free text explanation required, and refer to Compliance.",, 74,Wording,,T9.7,10,All,Is the Settlor(s) an existing customer? ,Drop Down: Yes / No ,, 74,Wording,,T9.7,10,All,Is the Founder an existing customer? ,Drop Down: Yes / No Instruction: Complete Table 2,, 74,Wording,,T9.7,10,All,Is the Founder/Donor an existing customer? ,Drop Down: Yes / No ,, 75,Wording,,T9.7a,10,All,What is the Settlor's unique Customer ID number?,Free Text,, 75,Wording,,T9.7a,10,All,What is the Founder's unique Customer ID number?,Free TextInstruction: Complete Table 2,, 75,Wording,,T9.7a,10,All,What is the Founder's/ Donor's unique Customer ID number?,Free Text,, 76,Wording,,T11.1,10,All,Is the Settlor a Legal Entity,Drop Down: Yes / No ,, 76,Wording,,T11.1,10,All,Is the Founder a Legal Entity?,Drop Down: Yes / No Instruction: Complete Table 2,, 76,Wording,,T11.1,10,All,Is the Founder/ Donor a Legal Entity,Drop Down: Yes / No ,, 77,Wording,,T11.a,10,All,What is the Settlor's Level of Public Accountability?,Drop down: 1. Equivalently Regulated Financial Institution 2. Acceptably Publicly Listed Entity 3. Wholesale4. Other,, 77,Wording,,T11.a,10,All,What is the Founder's Level of Public Accountability?,Drop down: 1. Equivalently Regulated Financial Institution 2. Acceptably Publicly Listed Entity 3. Wholesale4. OtherInstruction: Complete table 2,, 77,Wording,,T11.a,10,All,What is the Founder's/ Donor's Level of Public Accountability?,Drop down: 1. Equivalently Regulated Financial Institution 2. Acceptably Publicly Listed Entity 3. Wholesale4. OtherComplete table 2,, 78,Wording,,T11.1b,10,All,Is the Settlor a Private Investment Company or Private Investment Vehicle?,Drop Down: Yes / No ,, 78,Wording,,T11.1b,10,All,Is the Founder a Private Investment Company or Private Investment Vehicle?,Drop Down: Yes / No Instruction: Complete Table 2,, 78,Wording,,T11.1b,10,All,Is the Founder/ Donor a Private Investment Company or Private Investment Vehicle?,Drop Down: Yes / No ,, 79,Wording,,T11.1c,10,All,Document the identity of the underlying Settlor in table 2,"Instruction: Complete Table 2If ""No"", Where the underlying Founder(s) can not be identified, complete Table 6 for referral to FCC ",, 79,Wording,,T11.1c,10,All,Document the identity of the underlying Founder in table 2,"Instruction: Complete Table 2If ""No"", Where the underlying Founder(s) can not be identified, complete Table 6 for referral to FCC",, 79,Wording,,T11.1c,10,All,Document the identify of the underlying Founder/ Donor in table 2,"Instruction: Complete Table 2Where the underlying Founder(s) can not be identified, complete Table 6 for referral to FCC",, 80,Wording,,T9.9,10,All,Are there any anonymous or unknown Settlors connected to the Trust? ,"Drop Down: Yes / No If ""Yes"", complete Table 6 for referral to FCC",, 80,Wording,,T9.9,10,All,Are there any anonymous or unknown Founders connected to the Customer? ,"Drop Down: Yes / No If ""Yes"", complete Table 6 for referral to FCC",, 80,Wording,,T9.9,10,All,Are there any anonymous or unknown Founders/ Donors connected to the Customer? ,"Drop Down: Yes / No If ""Yes"", complete Table 6 for referral to FCC",, 81,Wording,,T9.12,10,All,Are there any nominee Settlors connected to the Trust? ,Drop Down: Yes / No ,, 81,Wording,,T9.12,10,All,Are there any nominee Founders connected to the Customer?,Drop Down: Yes / No ,, 81,Wording,,T9.12,10,All,Are there any nominee Founders/ Donors connected to the Customer? ,Drop Down: Yes / No ,, 82,Wording,,T9.12.a,10,All,"Where a nominee Settlor is noted, document the identity of the true Settlor in table 2",Instruction: Complete Table 2If unable to identify the true Settlor complete Table 6 for referral to FCC,"Conditional on ""Yes"" response to QT9.12", 82,Wording,,T9.12.a,10,All,"Where a nominee Founder is noted, document the identity of the true Founder in table 2",Instruction: Complete Table 2If unable to identify the true Founder/ Donor complete Table 6 for referral to FCC,"Conditional on ""Yes"" response to QT9.12", 82,Wording,,T9.12.a,10,All,"Where a nominee Founder/ Donor is noted, document the identity of the true Founder/ Donor in table 2",Instruction: Complete Table 2If unable to identify the true Founder/ Donor complete Table 6 for referral to FCC,"Conditional on ""Yes"" response to QT9.12", 83,Combination,,T9.12.d,10,All,Document the reason for use of nominee Settlor,Free Text: document the reason for use of Nominee Settlor,"Conditional on ""Yes"" response to QT9.12", 83,Combination,,T9.12.d,10,All,Document the reason for use of nominee Settlor,Free Text: document the reason for use of Nominee Settlor,, 83,Combination,,T9.12.d,10,All,Document the reason for use of nominee Founder.,Free Text: document the reason for use of Nominee Founder/Donor,, 83,Combination,,T9.12.d,10,All,Document the reason for use of nominee Founder/ Donor,Free Text: document the reason for use of Nominee Founder/Donor,, 84,Combination,,T9.12.c,10,All,What is the relationship between the Nominee Settlor and the True Settlor?,Free Text: Describe the relationship between nominee Settlor and the True Settlor. ,"Conditional on ""yes"" response to QT9.12", 84,Combination,,T9.12.c,10,All,What is the relationship between the Nominee Settlor and the True Settlor?,Free Text: Describe the relationship between nominee Settlor and the True Settlor. ,, 84,Combination,,T9.12.c,10,All,What is the relationship between the Nominee Founder and the true Founder?,Free Text: Describe the relationship between nominee Founder/Donor and the True Founder/Donor. ,, 84,Combination,,T9.12.c,10,All,What is the relationship between the Nominee Founder/ Donor and the true Founder/ Donor?,Free Text: Describe the relationship between nominee Founder/Donor and the True Founder/Donor. ,, 85,Wording,,T10.3,10,All,Confirm that the verification section in tables 2 have been completed for Settlors,"Drop Down: Yes / No If ""Yes"" ""No"", complete Table 6 for referral to FCC",, 85,Wording,,T10.3,10,All,Confirm that the verification section in tables 2 have been completed for Founder,"Drop Down: Yes / No If ""No"", complete Table 6 for referral to FCC",, 85,Wording,,T10.3,10,All,Confirm that the verification section in tables 2 have been completed for Founder/Donors,"Drop Down: Yes / No If ""No"" complete Table 6 for referral to FCC",, 86,Combination,,10.23n,10b,All,Confirm that the Beneficial Owners table has been completed with the requested information for each beneficial owner (including Intermediate Owners) that owns 10% or more of the ordinary share capital of the Settlor ,Drop down: Yes/ No/ Threshold not reached[Complete Tables 2.1a and 2.1b],"Conditional ""Yes"" response to T11.1 or to identification of Settlors as a legal entity in T9.3b.s (Table 2).", 86,Combination,,10.23n.s,10b,All,Confirm that the Beneficial Owners table has been completed with the requested information for each beneficial owner (including Intermediate Owners) that owns 10% or more of the ordinary share capital of the Settlor ,Drop Down: Yes/ No/ Threshold not reached[Complete Tables 2.1a and 2.1b],"Conditional on ""Yes"" response to T11.1 or to identification of Settlors as a legal entity in T9.3b (Table 2).", 86,Combination,,10.23n.s,10b,All,Confirm that the Beneficial Owners table has been completed with the requested information for each beneficial owner (including Intermediate Owners) that owns 10% or more of the ordinary share capital of the Founder/Donor ,Drop Down: Yes/ No/Threshold not reached[Complete Table 2.1d],"Conditional ""Yes"" response to T11.1 or to identification of Founder as a legal entity in T9.3b (Table 2).", 87,Q Ref,,T10.23n.s,10b,All,Confirm that the verification section in table 2.1b has been completed for the Ultimate Beneficial Owners of the Settlor,"Drop Down: Yes/ NoIf ""No"", complete Table 6 for referral to FCC","Conditional ""Yes"" response to T11.1 or to identification of Settlors as a legal entity in T9.3b (Table 2).", 87,Wording,,T10.23n.s,10b,All,Confirm that the verification section in table 2.1d has been completed for the Ultimate Beneficial Owners of the Founder,"Drop Down: Yes/ NoIf ""No"", complete Table 6 for referral to FCC","Conditional ""Yes"" response to T11.1 or to identification of Founder as a legal entity in T9.3b (Table 2).", 87,Wording,,T10.23n.s,10b,All,Confirm that the verification section in table 2.1b has been completed for the Ultimate Beneficial Owners of the Founder/Donor,"Drop Down: Yes/ NoIf ""No"", complete Table 6 for referral to FCC","Conditional ""Yes"" response to T11.1 or to identification of Founder/ Donor as a legal entity in T9.3b (Table 2).", 87,Q Ref,,T10.23n,10b,All,Confirm that the verification section in table 2.1b has been completed for the Ultimate Beneficial Owners of the Settlor,"Drop Down: Yes/ NoIf ""No"", complete Table 6 for referral to FCC","Conditional ""Yes"" response to T11.1 or to identification of Settlors as a legal entity in T9.3b.s (Table 2).", 91,Conditionality,,A11.4,12,High/ SCC,What is the Business Owner's Source of Wealth? ,"Check Box:- Customer's Profession, - Business Ownership,- Inheritance,- Pension lump sum payment,- Sale of Property/ Assets,- Real Estate development/ investment - Redundancy payment, - Lottery/ Casino/ Gaming win, - Active Wealth/ Investments, - Current or former government official- Family Loan- Other. Multiple Selection availableFree Text: Description of ""Other"" response","Conditional on ""Established business - more than 2 years old"" response to QA17.01", 91,Conditionality,,A12.01,12,All,What is the Business Owner's Source of Wealth? ,"Check Box:- Customer's Profession, - Business Ownership,- Inheritance,- Pension lump sum payment,- Sale of Property/ Assets,- Real Estate development/ investment - Redundancy payment, - Lottery/ Casino/ Gaming win, - Active Wealth/ Investments, - Current or former government official- Family Loan- Other. Multiple Selection availableFree Text: Description of ""Other"" response","Conditional on ""Start up"" or ""Established business - up to 2 years old"" response to QA17.01", 92,Conditionality,,A12.02,12,High/ SCC,What documentation has been used to validate the Business Owner's Source of Wealth?,Free text: document nameLink to document repository,"Conditional on ""Established business - more than 2 years old"" response to QA17.01", 92,Conditionality,,A12.03,12,High/ SCC,What documentation has been used to validate the Business Owner's Source of Wealth?,Free text: document nameLink to document repository,"Conditional on ""Start up"" or ""Established business - up to 2 years old"" response to QA17.01", 92,Conditionality,,A12.04,12,Medium/ Low,What documentation has been used to validate the Business Owner's Source of Wealth?,Free text: document nameLink to document repository,"Conditional on ""Start up"" or ""Established business - up to 2 years old"" response to QA17.01 AND conditional on response to QA8.13 being greater than or equal to US$150,000", 93,Customer Type,,9.04.s,12,All,What is the Settlor's initial (i.e. existing) SoW?,"Check box:""Employment"" / ""Self-Employed"" / ""Lottery, Betting or Casino Win"" / ""Inheritance"" / ""Sale of Assets or Property"" / ""Gift"" / ""Pension"" / ""Business Ownership"" / ""Real Estate Development/Investment"" / ""Active Wealth/Investments "" / ""Artwork Investment""/ ""Family Relations or Royalty"" / ""Student loan"" / ""Other""Instruction: Complete relevant section(s) in Table 2a","Conditional on ""Holding Trust (linked to a PIC/PIV or individual)"" response to T1.1 ", 93,Customer Type,,9.04.s,12,All,What is the Founder's/ Donor's initial (i.e. existing) SoW?,"Multiple Field Selection: ""Employment"" / ""Self-Employed"" / ""Lottery, Betting or Casino Win"" / ""Inheritance"" / ""Sale of Assets or Property"" / ""Gift"" / ""Pension"" / ""Business Ownership"" / ""Real Estate Development/Investment"" / ""Active Wealth/Investments "" / ""Artwork Investment""/ ""Family Relations or Royalty"" / ""Student loan"" / ""Other""Instruction: Complete relevant section(s) in Table 2a","Conditional on ""Holding Foundation (linked to a PIC/PIV or individual)"" response to T1.1 ", 94,Customer Type,,9.10a.s,12,All,Is the Settlor's on-going SoW different to their initial SoW?,Drop down: Yes/ No ,"Conditional on ""Holding Trust (linked to a PIC/PIV or individual)"" response to T1.1 ", 94,Customer Type,,9.10a.s,12,All,Is the Founder's/Donor's on-going SoW different to their initial SoW?,Drop down: Yes/ No ,"Conditional on ""Holding Foundation (linked to a PIC/PIV or individual)"" response to T1.1 ", 94,Customer Type,,9.11.s,12,All,What is the Settlor's on-going SoW?,"Check box: ""Employment"" / ""Self-Employed"" / ""Lottery, Betting or Casino Win"" / ""Inheritance"" / ""Sale of Assets or Property"" / ""Gift"" / ""Pension"" / ""Business Ownership"" / ""Real Estate Development/Investment"" / ""Active Wealth/Investments "" / ""Artwork Investment""/ ""Family Relations or Royalty"" / ""Student Loan"" / ""Other""Instruction: Populate Table 2a","Conditional on ""Holding Trust (linked to a PIC/PIV or individual)"" response to T1.1 ANDConditional on ""Yes"" response to Q9.10a.s ", 94,Customer Type,,9.11.s,12,All,What is the Founder's/Donor's on-going SoW?,"Check box: Multiple Field Selection: ""Employment"" / ""Self-Employed"" / ""Lottery, Betting or Casino Win"" / ""Inheritance"" / ""Sale of Assets or Property"" / ""Gift"" / ""Pension"" / ""Business Ownership"" / ""Real Estate Development/Investment"" / ""Active Wealth/Investments "" / ""Artwork Investment""/ ""Family Relations or Royalty"" / ""Student Loan"" / ""Other""Instruction: Populate Table 2a","Conditional on ""Holding Foundation (linked to a PIC/PIV or individual)"" response to T1.1 ANDConditional on ""Yes"" response to Q9.10a.s ", 95,Customer Type,,9.18.s,12,All,State the Country(ies) in which the Settlor attained their initial and on-going SoW.,Check box: List of all countries,"Conditional on ""Holding Trust (linked to a PIC/PIV or individual)"" response to T1.1 ", 95,Customer Type,,9.18.s,12,All,State the Country(ies) in which the Founder/ Donor attained their initial and on-going SoW.,Check box: List of all countries,"Conditional on ""Holding Foundation (linked to a PIC/PIV or individual)"" response to T1.1 ", 96,Customer Type,,9.17.s,12,All,What is the Settlor's estimated net worth?,Free text: Number,"Conditional on ""Holding Trust (linked to a PIC/PIV or individual)"" response to T1.1 ", 96,Customer Type,,9.17.s,12,All,What is the Founder's/ Donor's estimated net worth?,Free text: Number,"Conditional on ""Holding Foundation (linked to a PIC/PIV or individual)"" response to T1.1 ", 97,Customer Type,,8.04c.s,12,All,Confirm that the Settlor's initial non-cash fund transfer has been validated.,"Drop down: Yes / NoIf ""Yes"" - Link to document repositoryIf ""No"" - complete Table 6 for referral to FCC","Conditional on ""Holding Trust (linked to a PIC/PIV or individual)"" response to T1.1 ANDConditional on ""Non Cash fund transfer"" response to Q8.04.s", 97,Customer Type,,8.04c.s,12,All,Confirm that the Founder's/ Donor's initial non-cash fund transfer has been validated.,"Drop down: Yes / NoIf ""Yes"" - Link to document repositoryIf ""No"" - complete Table 6 for referral to FCC","Conditional on ""Holding Foundation (linked to a PIC/PIV or individual)"" response to T1.1 ANDConditional on ""Non Cash fund transfer"" response to Q8.04.s", 98,Customer Type,,T8.16.s,12a,All,What is the country of Settlor's funds? ,Drop down: Country,"Conditional on ""Holding Trust (linked to a commercial business) "" response to T1.1", 98,Customer Type,,T8.16.s,12a,All,What is the country of Founder's/ Donor's funds that will be transferred to the Customer? ,Drop down: Country,"Conditional on ""Holding Foundation (linked to a commercial business) "" response to T1.1", 99,Customer Type,,A8.11.s,12a,All,Does the Settlor have financial statements available?,"Drop down: Yes / NoIf ""Yes"", provide link to document repository","Conditional on ""Yes"" response to T11.1ANDConditional on ""Holding Trust (linked to a commercial company) "" response to T1.1", 99,Customer Type,,A8.11.s,12a,All,Does the Founder/Donor have financial statements available?,"Drop down: Yes / NoIf ""Yes"", provide link to document repository","Conditional on ""Yes"" response to T11.1ANDConditional on ""Holding Foundation (linked to a commercial business) "" response to T1.1", 100,Customer Type,,A8.15.s,12a,All,What is the source of wealth of the Settlor?,"Check Box:Shareholder injection (Ultimate Beneficial Owner) Capital in business Intra group financing Business banking loan Business income (accumulated profit / retained earnings)Business loanInvestment by Ultimate Beneficial Owner Sale of propertyExternal Investment (e.g. promotional / marketing)Other Multiple Selection availableFree Text: Description of ""Other"" response","Conditional on response on ""New Customer Onboarding"" response to Q1.06b.sANDConditional on ""Holding Trust (linked to a commercial business) "" response to T1.1", 100,Customer Type,,A8.15.s,12a,All,What is the source of wealth of the Founder/ Donor?,"Check Box:Shareholder injection (Ultimate Beneficial Owner) Capital in business Intra group financing Business banking loan Business income (accumulated profit / retained earnings)Business loanInvestment by Ultimate Beneficial Owner Sale of propertyExternal Investment (e.g. promotional / marketing)Other Multiple Selection availableFree Text: Description of ""Other"" response ","Conditional on response on ""New Customer Onboarding"" response to Q1.06b.sANDConditional on ""Holding Foundation (linked to a commercial business) "" response to T1.1", 101,Customer Type,,A8.33.s,12a,All,"Where a non-significant amount is being deposited, will the Settlor be depositing any significant sums in the future?",Drop down: Yes/ No,"Conditional on response to QA8.13.s being less than US$150,000", 101,Customer Type,,A8.33.s,12a,All,"Where a non-significant amount is being deposited, will the Founder/ Donor be depositing any significant sums in the future?",Drop down: Yes/ No,"Conditional on response to QA8.13.s being less than US$150,000", 102,Customer Type,,A8.17.s,12a,All,Is the aggregate amount across all accounts to be transferred consistent with the information provided on the Settlor's SoW and Nature of Business?,Drop down: Yes / No Free text field: RM is to record the documentation seen and any explanation required. ,"Conditional on ""Holding Trust (linked to a commercial business) "" response to T1.1", 102,Customer Type,,A8.17.s,12a,All,Is the aggregate amount across all accounts to be transferred consistent with the information provided on the Founder's/Donor's SoW and Nature of Business?,Drop down: Yes / No Free text field: RM is to record the documentation seen and any explanation required. ,"Conditional on ""Holding Foundation (linked to a commercial business) "" response to T1.1", 103,Customer Type,,T12.1,14,All,Confirm that table 3 has been completed for all Trustees/ Protectors identified from the legal documentation and complete table with the requested information for each party.,Drop down: Yes/NoInstruction: Complete Table 3,, 103,Customer Type,,T12.1,14,All,Confirm that table 3 has been completed for all Council Members/ Guardians identified from the legal documentation and complete table with the requested information for each party.,Drop Down: Yes/NoInstruction: Complete Table 3,, 104,Q ref,,T12.1.a,14,All,Are there more than 5 Trustees? ,"Drop down ""Yes""/ ""No""If ""Yes"", complete Table 6 for referral to FCC",, 104,Q ref,,T12.1.b,14,All,Does the number of Council Members appear disproportionate to that encountered in similar Foundation types? ,"Drop down ""Yes""/ ""No""If ""Yes"", complete Table 6 for referral to FCC",, 105,Customer Type,,T11.7,14,All,Is the Trustee a legal entity or an individual?,"Drop Down: Legal Entity, Individual",, 105,Customer Type,,T11.7,14,All,Is the Council Member(s) a legal entity or an individual?,"Drop Down: Legal Entity, IndividualInstruction: Complete table 3(NOTE: will drive which table to be completed for Controlling Parties)",, 106,Customer Type,,T1.10d,14,All,Is the Trustee an Equivalently Regulated Financial Institution?,Drop down: Yes/ No,"Condition on ""Legal Entity"" response to T11.7", 106,Customer Type,,T1.10d,14,All,Is the Council Member an Equivalently Regulated Financial Institution?,Drop down: Yes/ NoInstruction: Complete Table 3,"Conditional on ""Legal Entity"" response to T11.7", 107,Customer Type,,T12.14.a,14,All,What is the Trustee's standard industry classification code?,Check Box: list of standard industry classification codes and descriptions Multiple selection available,"Conditional on ""Legal Entity"" response to T11.7", 107,Customer Type,,T12.14.a,14,All,What is the Council Member's standard industry classification code?,Check Box: list of standard industry classification codes and descriptions.Multiple selection available. Instruction: Complete Table 3,"Conditional on ""Legal Entity"" response to T11.7", 108,Customer Type,,T12.14,14,All,Provide the Trustee's principal business,Free Text: Document principal business ,"Conditional on ""Legal Entity"" response to T11.7", 108,Customer Type,,T12.14,14,All,Provide the Council Member's principal business ,Free Text: Document principal business Instruction: Complete Table 3,"Conditional on ""Legal Entity"" response to T11.7", 109,Customer Type,,T11.8,14,All,Is the Trustee a current HSBC customer?,"Drop Down: Yes/ NoIf ""Yes"", Free Text: Unique Customer ID number",, 109,Customer Type,,T11.8,14,All,Is the Council Member a current HSBC customer?,"(Question to be prompted more than once if multiple Council members that are legal entities).Drop Down: Yes/ NoIf ""Yes"", Free Text: Unique Customer ID number",, 110,Customer Type,,T12.15a,14,All,Describe provisions relating to changing Trustee either upon resignation or the requirements of other connected parties. ,Free Text,, 110,Customer Type,,T12.15a,14,All,Describe provisions relating to changing Council Members either upon resignation or the requirements of other connected parties. ,Free Text,, 111,Customer Type,,T12.10,14,All,Are there any Successor Trustees?,Drop Down: Yes/ No,, 111,Customer Type,,T12.10,14,All,Are there any Successor Council Member?,Drop Down: Yes/ No,, 112,Customer Type,,T12.10a,14,All,Document the names of Successor Trustees and conditions under which they will become fully authorised Trustees,Free Text: Document the names and conditions for Successor Trustees,"Conditional on ""Yes"" response to T12.10", 112,Customer Type,,T12.10a,14,All,Document the names of Successor Council Member and conditions under which they will become fully authorised ,Free Text: Document the names and conditions for Successor Council MembersInstruction: Complete table 3 for Successors information,"Conditional on ""Yes"" response to T12.10", 113,Customer Type,,T12.4,14,All,Are there any anonymous principals for the Trust not identified in the legal documentation? ,"Drop Down: Yes/ NoIf ""Yes"", complete Table 6 for referral to FCC",, 113,Customer Type,,T12.4,14,All,Are there any anonymous principals for the Foundation not identified in the legal documentation? ,"Drop Down: Yes/ NoIf ""Yes"", complete Table 6 for referral to FCC",, 114,Customer Type,,T12.6,14,All,Why are Trustees and anonymous principals excluded from the legal document? ,Free text: Reasoning for exclusion on the Legal Document,"Conditional on ""Yes"" response to T12.4", 114,Customer Type,,T12.6,14,All,Why are Council Members and anonymous principals excluded from the legal document? ,Free text: Reasoning for exclusion on the Legal Document,"Conditional on ""Yes"" response to T12.4", 115,Customer Type,,T12.3,14,All,What gives the individual (s) the authority to be Controller / Trustee of the Trust? ,Free Text: description of authority,"Conditional on ""Yes"" response to T12.4", 115,Customer Type,,T12.3,14,All,What gives the individual (s) the authority to be Controller / Council Members of the Customer? ,Free Text: description of authority,"Conditional on ""Yes"" response to T12.4", 116,Customer Type,,T12.18.a,14,All,Are there any Powers of Attorney acting as Controllers for the Trust? ,Drop Down: Yes/ No,, 116,Customer Type,,T12.18.a,14,All,Are there any Powers of Attorney acting as Controllers for the Customer? ,Drop Down: Yes/ No,, 117,Customer Type,,T1.9,14,All,Are there any other parties that have control over the Trust assets? ,"Checkbox:SettlorBeneficiary with fixed interestProtectorInvestment AdviserOther (if other, free text required)(Multiple options may be chosen)",, 117,Customer Type,,T1.9,14,All,Are there any other parties that have control over the Customer? ,"Drop down option:FounderDonorBeneficiary with fixed interestGuardian Investment AdviserOther (If other, free text required)Multiple option may be chosen",, 118,Customer Type,,A12.18,14,All,"Confirm that table 3 has been completed for all Trustees, Protectors, Powers of Attorney, and Settlors that retain control over the Trust's assets. Controlling Parties.","Drop down: Yes/ NoInstruction: Complete Table 3If ""No"", complete Table 6 for referral to FCC",, 118,Customer Type,,A12.18,14,All,Confirm that table 3 has been completed for all Controlling Parties over the Customer. ,"Drop down: Yes/ NoInstruction: Complete Table 3If ""No"", complete Table 6 for referral to FCC",, 133,Screening,,12.01n,16,All,Confirm that screening (including Screening against Lists & for Negative News/Facts) of all identified connected parties has been completed and the screening results have been attached in the appropriate table 12.,Check boxInstruction: attach link to document repository to appropriate connected party table.,, 133,Screening,,12.01n,16,All,Confirm that screening (including Screening against Lists & for Negative News/Facts) of Key Controllers and Sole Signatories has taken place and the screening results have been attached to the relevant individuals in table 4.3,Drop down: Yes / NoLink to document repository in table 4.3,, 133,Screening,,12.01n,16,All,"Confirm that screening (including Screening against Lists & for Negative News/Facts) of necessary connected parties has taken place, and the screening results have been attached to the appropriate individuals in the applicable ID&V tables.",Check boxInstruction: attach link to document repository to the relevant table.,, 133,Screening,,12.01n,16,All,"Confirm that screening (including Sreening against Lists & for Negative News/Facts) of Beneficial Owners, Key Controllers, Sole Signatories, other Directors not identified as Key Controllers, and other related parties has taken place, and the screening results have been attached to the relevant individuals in the applicable ID&V tables.",Check boxInstruction: attach link to document repository to the applicable ID&V tables.,, 134,Screening,,12.04,16,All,Are any of the identified connected parties Politically Exposed Persons (PEPs)?,"Drop down: Yes/No.If Yes, complete table 8",, 134,Screening,,12.04,16,All,"Are any of the connected parties identified, Politically Exposed Persons (PEPs)?","Drop down: Yes/No.If Yes, complete table 8",, 134,Screening,,12.04,16,All,Is the Business Owner or any identified connected parties a Politically Exposed Person (PEP)?,"Drop down: Yes/No.If Yes, complete table 8","Conditional on ""Yes"" response to Q12.01n", 134,Screening,,12.04,16,All,"Are any of the Ultimate Beneficial Owners, Key Controllers, Sole Signatories, other Directors not identified as Key Controllers, and other related parties identified, Politically Exposed Persons (PEPs)?","Drop down: Yes/No.If Yes, complete table 8","Conditional on ""Yes"" response to Q12.01n", 136,Combination,,A8.11,8,All,Does the Customer have financial statements available?,"Drop down: Yes / NoIf ""Yes"", provide link to document repository","Conditional on ""Trading / donations / subscriptions"" response to T1.1", 136,Combination,,A8.11,8,All,Does the Customer have financial statements available?,"Drop down: Yes / NoIf ""Yes"", provide link to document repository",, 136,Combination,,A8.11,8,All,Does the Customer have financial statements available?,"Drop down: Yes / NoIf ""Yes"", provide link to document repository",, 136,Combination,,A8.11,17,High/ SCC,Have financial statements been obtained for the Customer?,"Drop down: Yes / NoIf ""Yes"", provide link to document repository","Conditional on any of the following responses to Q8.02f: ""Bank statements"", ""Tax returns"", ""Other""", 137,Combination,,A8.15,8,All,What is the Source of Wealth of the business?,"Check Box: Shareholder injection (Ultimate Beneficial Owner) Capital in business Intra group financing Business banking loan Business income (accumulated profit / retained earnings)Business loanInvestment by Ultimate Beneficial Owner Sale of propertyExternal Investment (e.g. promotional / marketing)Other Multiple Selection availableFree Text: Description of ""Other"" response ","Conditional on response on ""Onboarding"" response to Q1.06b. ANDConditional on ""Trading / donations / subscriptions"" response to T1.1", 137,Combination,,A8.15,8,All,What is the source of wealth of the Customer?,"Check Box:Shareholder injection (Ultimate Beneficial Owner) Capital in business Intra group financing Business banking loan Business income (accumulated profit / retained earnings)Business loanInvestment by Ultimate Beneficial Owner Sale of propertyExternal Investment (e.g. promotional / marketing)Other Multiple Selection availableFree Text: Description of ""Other"" response ","Conditional on response on ""Onboarding"" response to Q1.06b. ANDConditional on ""Trading / donations / subscriptions"" response to T1.1", 137,Combination,,A8.15,8,All,What is the Source of Wealth of the organisation?,"Check Box:Intra group financing Business income (accumulated profit / retained earnings)LoanDonationsGrantsMembership DuesSale of propertyExternal InvestmentOther Multiple Selection availableFree Text: Description of ""Other"" response","Conditional on response on ""New Customer Onboarding"" response to Q1.06b. ", 137,Combination,,A8.15,8,All,What is the Source of Wealth of the organisation?,"Check Box:Intra group financing Business income (accumulated profit / retained earnings)LoanDonationsGrantsMembership DuesSale of propertyExternal InvestmentOther Multiple Selection availableFree Text: Description of ""Other"" response","Conditional on response on ""New Customer Onboarding"" response to Q1.06b. ", 137,Combination,,A8.15,8,All,What is the Source of Wealth of the business?,"Check Box:Intra group financing Business income (accumulated profit / retained earnings)Business loanInvestment by Ultimate Beneficial Owner/ Partner Sale of propertyExternal InvestmentOther Multiple Selection availableFree Text: Description of ""Other"" response","Conditional on response on ""Onboarding"" response to Q1.06b. ", 137,Combination,,A8.15,8,All,What is the Source of Wealth of the business?,"Check Box:Business income (accumulated profit / retained earnings)Business loanInvestment by Business OwnerSale of propertyExternal InvestmentOther Multiple Selection availableFree Text: Description of ""Other"" response","Conditional on ""Established business - up to 2 years old"" or ""Established business - more than 2 years old"" response to QA17.01", 138,Combination,,A8.14,8,All,What is the Source of the funds being transferred?,"Drop Down:Intra group financing Business income (accumulated profit / retained earnings)Transfer from other HSBC accountBusiness loanInvestment by UBO/ Partner Sale of propertyExternal InvestmentOther Free Text: Description of ""Other"" response","Conditional on any response other than N/A to QA8.13ANDConditional on ""Trading / donations / subscriptions"" response to T1.1", 138,Combination,,A8.14,8,All,What is the Source of the funds being transferred?,"Drop Down:Intra group financing Business income (accumulated profit / retained earnings)Transfer from other HSBC accountBusiness loanInvestment by UBO/ Partner Sale of propertyExternal InvestmentOther Free Text: Description of ""Other"" response",Conditional on any response other than N/A to QA8.13, 138,Combination,,A8.14,17,All,What is the source of these funds?,"Drop Down:Intra group financing Business income (accumulated profit / retained earnings)Transfer from other HSBC accountBusiness loanInvestment by UBO/ Partner Sale of propertyExternal InvestmentDonationsGrantsMembership DuesOther Free Text: Description of ""Other"" response",Conditional on any response other than N/A to QA8.13, 140,Conditionality,,A24.02,24,All,Provide the rationale for not visiting the customer.,Free Text: Rationale,"Conditional on ""No - home based or does not have a business/registered address separate from that of an individual member"" response to Q24.01", 140,Conditionality,,A24.02,24,All,Provide the rationale for not undertaking the visit.,Free Text: Rationale,"Conditional on ""No"" response to QA24.02", 140,Combination,,T24.01b,24,All,Explain why the visit is not required.,Free Text: reason for no visitation,"Conditional on ""No"" response to Q24.01", 140,Combination,,A24.02,24,All,Provide the rationale for not visiting the home based business.,Free Text: Rationale,"Conditional on ""No - home based business"" response to Q24.01", 141,Combination,,A24.01,24,All,"If the response above is ""No"", document the address visited and the reasoning for not visiting the principle business address.",Free Text: Rationale,"Conditional on ""No"" response to QA19.01", 141,Combination,,Cap42,24,All,"If the response above is ""No"", document the address visited and the reasoning for not visiting the principle business address.",Free Text: Rationale,"Conditional on ""No"" response to either Cap40 or Cap41 respectively", 142,Combination,,33.24,33a,All,"Confirm that public information searches and background checks have been performed to identify any exposure to Sensitive Sanctioned Countries (using the Customer's annual report if publicly available, or the Customer website).",Drop-down: Yes/NoLink to document repository,, 142,Combination,,33.24,33a,All,"Confirm that public information searches and background checks have been performed to identify any exposure to Sensitive Sanctioned Countries (using the Customer's annual report if publicly available, the Customer website, and the Banker's Almanac).",Drop-down: Yes/NoLink to document repository,, 142,Combination,,33.24,33a,All,"Confirm that public information searches and background checks have been performed to identify any exposure to Sensitive Sanctioned Countries (using the Customer's annual report if publicly available, the Customer website, and the Banker's Almanac).",Drop-down: Yes/NoLink to document repository,"Conditional on ""Trading / donations / subscriptions"" OR ""Holding Trust (linked to a commercial business) "" response to T1.1", 142,Combination,,33.24,6,All,"Confirm that public information searches and background checks have been performed to identify any exposure to Sensitive Sanctioned Countries (using the Customer's annual report if publicly available, the Customer website, and the Banker's Almanac).",Drop-down: Yes/NoLink to document repository,, 142,Combination,,NBFI 33.24,33a,All,"Confirm that public information searches and background checks have been performed to identify any exposure to Sensitive Sanctioned Countries (using the Customer's annual report if publicly available, the Customer website, and the Banker's Almanac).",Drop-down: Yes/NoLink to document repository,, 143,Combination,,33.25,33a,All,Is there any evidence from the searches/background checks that the Customer does business in Sensitive Sanctioned Countries?,"Drop-down: Yes/NoIf ""Yes"", complete Table 6 for referral to FCC","Conditional on ""Yes"" response to Q33.24", 143,Combination,,33.25,6,All,"Is there any evidence from the searches/background checks that the Customer or any members of the Customer's legal entity structures (including branches, subsidiaries, affiliates and joint ventures) do business in Sensitive Sanctioned Countries?","Drop-down: Yes/NoIf ""Yes"", complete Table 6 for referral to FCC","Conditional on ""Yes"" response to Q33.24", 143,Combination,,33.25,6,All,"Is there any evidence from the searches/background checks that the Customer or any members of the Customer's legal entity structures (including branches, subsidiaries, affiliates and joint ventures) do business in Sensitive Sanctioned Countries?","Drop-down: Yes/NoIf ""Yes"", complete Table 6 for referral to FCC","Conditional on ""Trading / donations / subscriptions"" OR ""Holding Trust (linked to a commercial business) "" response to T1.1 ANDConditional on ""Yes"" response to Q33.24", 143,Combination,,33.25,6,All,"Is there any evidence from the searches/background checks that the Customer or any members of the Customer's legal entity structures (including branches, subsidiaries, affiliates and joint ventures) do business in Sensitive Sanctioned Countries?","Drop-down: Yes/NoIf ""Yes"", complete Table 6 for referral to FCC",, 143,Combination,,NBFI 33.25,6,All,"Is there any evidence from the searches/background checks that the Customer or any members of the Customer's legal entity structures (including branches, subsidiaries, affiliates and joint ventures) do business in Sensitive Sanctioned Countries?","Drop-down: Yes/NoIf ""Yes"", complete Table 6 for referral to FCC","Conditional on ""Yes"" response to NBFI 33.24", 144,Combination,,33.25a,33a,All,Is there any evidence from the negative news screening that the Customer does business in Sensitive Sanctioned Countries?,"Drop-down: Yes/NoIf ""Yes"", complete Table 6 for referral to FCC","Conditional on ""Yes"" response to Q33.24", 144,Combination,,33.25a,6,All,"Is there any evidence from the negative news screening that the Customer or any members of the Customer's legal entity structures (including branches, subsidiaries, affiliates and joint ventures) do business in Sensitive Sanctioned Countries?","Drop-down: Yes/NoIf ""Yes"", complete Table 6 for referral to FCC","Conditional on ""Yes"" response to Q33.24", 144,Combination,,33.25a,6,All,"Is there any evidence from the negative news screening that the Customer or any members of the Customer's legal entity structures (including branches, subsidiaries, affiliates and joint ventures) do business in Sensitive Sanctioned Countries?","Drop-down: Yes/NoIf ""Yes"", complete Table 6 for referral to FCC","Conditional on ""Trading / donations / subscriptions"" OR ""Holding Trust (linked to a commercial business) "" response to T1.1 ANDConditional on ""Yes"" response to Q33.24", 144,Combination,,33.25a,6,All,"Is there any evidence from the negative news screening that the Customer or any members of the Customer's legal entity structures (including branches, subsidiaries, affiliates and joint ventures) do business in Sensitive Sanctioned Countries?","Drop-down: Yes/NoIf ""Yes"", complete Table 6 for referral to FCC",, 144,Combination,,NBFI 33.25a,6,All,"Is there any evidence from the negative news screening that the Customer or any members of the Customer's legal entity structures (including branches, subsidiaries, affiliates and joint ventures) do business in Sensitive Sanctioned Countries?","Drop-down: Yes/NoIf ""Yes"", complete Table 6 for referral to FCC","Conditional on ""Yes"" response to NBFI 33.24a", 145,Combination,,33.1,33a,All,Does the Customer do business in Sensitive Sanctioned Countries?,Drop down: Yes / No,, 145,Combination,,33.1,33a,All,"Does the Customer or any members of their group legal entity structures (including branches, subsidiaries, affiliates and joint ventures) do business in Sensitive Sanctioned Countries?",Drop down: Yes / No,, 145,Combination,,33.1,33a,All,"Does the Customer or any members of their group legal entity structures (including branches, subsidiaries, affiliates and joint ventures) do business in Sensitive Sanctioned Countries?",Drop down: Yes / No,"Conditional on ""Trading / donations / subscriptions"" OR ""Holding Trust (linked to a commercial business) "" response to T1.1 ", 145,Combination,,NBFI 33.1,33a,All,"Does the Customer or any members of their group legal entity structures (including branches, subsidiaries, affiliates and joint ventures) do business in Sensitive Sanctioned Countries?",Drop down: Yes / No,, 146,Combination,,a33b.05,33b,All,Does the Customer do business in TI CPI ² 22 Countries?,"Drop down: Yes / NoIf ""Yes"", complete Table 6 for referral to FCC",, 146,Combination,,a33b.05,33b,All,"Does the Customer or any members of their group legal entity structures (including branches, subsidiaries, affiliates and joint ventures) do business in TI CPI ² 22 Countries?","Drop down: Yes / NoIf ""Yes"", complete Table 6 for referral to FCC",, 146,Combination,,a33b.05,33b,All,"Does the Customer or any members of their group legal entity structures (including branches, subsidiaries, affiliates and joint ventures) do business in TI CPI ² 22 Countries?",Drop down: Yes / No,"Conditional on ""Trading / donations / subscriptions"" OR ""Holding Trust (linked to a commercial business) "" response to T1.1 ", 147,Combination,,a33b.09,33b,All,"Confirm that the ""TI CPI ² 22 Detail"" tab has been populated.",Drop Down: Yes/ No,"Conditional on ""Yes"" response to Qa33b.05", 147,Combination,,a33b.09,33b,All,"Confirm that the ""TI CPI ² 22 Detail"" tab has been populated with details of the relationships between the relevant legal entities and each of the TI CPI ² 22 Countries that they deal with.",Drop Down: Yes/ No,"Conditional on ""Yes"" response to Qa33b.05", 147,Combination,,a33b.09,33b,All,"Confirm that the ""TI CPI ² 22 Detail"" tab has been populated with details of the relationships between the relevant legal entities and each of the TI CPI ² 22 Countries that they deal with.",Drop Down: Yes/ No,"Conditional on ""Trading / donations / subscriptions"" OR ""Holding Foundation (linked to a commercial business) "" response to T1.1 ANDConditional on ""Yes"" response to Qa33b.05", 148,Combination,,33.23b,33a,All,"Confirm that the Customer has been raised for referral to the Reputational Risk Committee, and attach any dispensation provided by the RRC.",Drop down: Yes/NoLink to document repository,"Conditional on ""Yes"" response to Q33.21", 148,Combination,,33.23b,33a,All,"Confirm that the Customer has been raised for referral to the Reputational Risk Committee, and attach any dispensation provided by the RRC.",Drop down: Yes/NoLink to document repository,"Conditional on ""Trading / donations / subscriptions"" OR ""Holding Trust (linked to a commercial business) "" response to T1.1 ANDConditional on ""Yes"" response to Q33.21", 148,Combination,,33.23b,33a,All,"Confirm that the Customer has been raised for referral to the Reputational Risk and Client Selection Committee, and attach any dispensation provided by the RR&CSC.",Drop down: Yes/NoLink to document repository,"Conditional on ""Yes"" response to Q33.21", 148,Combination,,33.23b,33a,All,"Confirm that the Customer has been raised for referral to the Reputational Risk and Client Selection Committee, and attach any dispensation provided by the RR&CSC.",Drop down: Yes/NoLink to document repository,"Conditional on ""Trading / donations / subscriptions"" OR ""Holding Foundation (linked to a commercial business) "" response to T1.1 ANDConditional on ""Yes"" response to Q33.1", 149,Combination,,A8.10,33b,All,What procedures does the Customer have in place to conduct due diligence on their dealings in TI CPI ² 22 Countries?,Free Text: Due diligence procedures,"Conditional on ""Trading / donations / subscriptions"" OR ""Holding Foundation (linked to a commercial business) "" response to T1.1 ANDConditional on ""Yes"" response to Qa33b.05", 149,Combination,,A8.10,33b,All,What procedures does the Customer have in place to conduct due diligence on their dealings in TI CPI ² 22 Countries?,Free Text: Due diligence procedures,"Conditional on ""Yes"" response to Qa33b.05", 149,Combination,,A8.10,33b,All,What procedures does the Customer or the Customer's Mastergroup have in place to conduct due diligence on their dealings in TI CPI ² 22 Countries?,Free Text: Due diligence procedures,"Conditional on ""Yes"" response to Qa33b.05", 149,Combination,,A8.10,33b,All,What procedures does the Customer or the Customer's Mastergroup have in place to conduct due diligence on their dealings in TI CPI ² 22 Countries?,Free Text: Due diligence procedures,"Conditional on ""Trading / donations / subscriptions"" OR ""Holding Trust (linked to a commercial business) "" response to T1.1 ANDConditional on ""Yes"" response to Qa33b.05", 150,Combination,,a33b.11,33b,All,What is the Customer's approach to future operations development in TI CPI ² 22 Countries and the anticipated timing of such actions?,"Free text: Description of business plan with respect to Sensitive Sanctioned Countries, including timings. ","Conditional on ""Yes"" response to Qa33b.05", 150,Combination,,a33b.11,33b,All,What is the Customer's approach to future business development in TI CPI ² 22 Countries and the anticipated timing of such actions?,"Free text: Description of business plan with respect to Sensitive Sanctioned Countries, including timings. ","Conditional on ""Yes"" response to Qa33b.05", 150,Combination,,a33b.11,33b,All,What is the Customer's approach to future business development in TI CPI ² 22 Countries and the anticipated timing of such actions?,"Free text: Description of business plan with respect to Sensitive Sanctioned Countries, including timings. ","Conditional on ""Trading / donations / subscriptions"" OR ""Holding Foundation (linked to a commercial business) "" response to T1.1 ANDConditional on ""Yes"" response to Qa33b.05", 151,Combination,,a33.23b,33a,All,"Confirm that the Customer has been raised for referral to the Reputational Risk Committee, and attach any dispensation provided by the RRC.",Drop down: Yes/NoLink to document repository,"Conditional on ""Yes"" response to Qa33b.13", 151,Combination,,33.23b,33a,All,"Confirm that the Customer has been raised for referral to the Reputational Risk Committee, and attach any dispensation provided by the RRC.",Drop down: Yes/NoLink to document repository,"Conditional on ""Trading / donations / subscriptions"" OR ""Holding Foundation (linked to a commercial business) "" response to T1.1 ANDConditional on ""Yes"" response to Qa33b.13", 151,Combination,,a33.23b,33a,All,"Confirm that the Customer has been raised for referral to the Reputational Risk Committee, and attach any dispensation provided by the RRC.",Drop down: Yes/NoLink to document repository,"Conditional on ""Trading / donations / subscriptions"" OR ""Holding Foundation (linked to a commercial business) "" response to T1.1 ANDConditional on ""Yes"" response to Qa33b.13", 151,Combination,,a33.23b,33b,All,"Confirm that the Customer has been raised for referral to the Reputational Risk Committee, and attach any dispensation provided by the RR&CSC.",Drop down: Yes/NoLink to document repository,"Conditional on ""Yes"" response to Qa33b.13", 152,Combination,,18.01,4,,Does the Customer only have a 'Hold mail' or 'Care Of' address? If Yes what is this address?,"Drop down: Yes/No If Yes, Free text(checkbox ""For Bank Use Only"" section)",, 152,Combination,,A34.13,4,All,Does the Customer only have a 'Hold mail' or 'Care Of' address? ,"Drop down: Yes/No If ""Yes"", 'Hold mail' address (std HSBC format) ",, 154,Screening,,7.01,6,All,Confirm that screening of the Customer has taken place.,Check box,, 154,Screening,,7.03c,6,All,Provide details of any negative news hits where applicable.,"Free text: Details of Negative news hits, ""No negative news hits identified"" option available",None, 154,Screening,,7.03c,6,All,Provide details of any negative news hits where applicable.,"Free text: Details of Negative news/ facts hits, ""No negative news/ facts hits identified"" option available","Conditional on ""Complex"" response to QA1.13OR ""Simple"" response to QA1.13 AND being High risk/ SCC", 154,Screening,,A7.1,6,Low,"Confirm a negative facts search was conducted on the Customer in line with HSBC policy. Insert the link to the negative facts search. If this capability is not available, manually input the data.",Check boxLink to document repository,"Conditional on ""No"" response to Q3e.06d.2 AND ""No"" response to QA3.3 AND ""No"" response to QA3e.02, and Conditional on response to either 8.02, 8.02d, A8.22 or A8.23 identifying an amount less than US$150M ANDConditional on table 2.1b identifying no countries which differ to the country of onboarding ANDConditional on table 1 identifying no countries which differ to country of onboarding", 154,Screening,,A7.1,6,All,Confirm a negative news/ facts search was conducted on the Customer in line with HSBC policy. Insert the link to the negative news/ facts search.,Check boxLink to document repository,, 154,Screening,,A7.1,6,Medium/ Low,Confirm a negative news/ facts search was conducted on the Customer in line with HSBC policy. Insert the link to the negative news/ facts search.,Check BoxLink to document repository,"Conditional on ""Simple"" response to QA1.13", 154,Screening,,6.05,6,,Confirm that screening (Official and Other Lists) of the Customer has taken place.Note: This must be completed before the account is operational,Check box,, 154,Screening,,6.06,6,,"Provide details of any (Official and Other Lists)screening hits, where applicable.Note: This must be completed before the account is operational","Free text: Details of Screening hits, ""No screening hits identified"" option available","Conditional on ""Yes"" response to Q6.05", 154,Screening,,6.07,6,,"Confirm that all (Official and Other Lists)screening hits have been resolved, and attach the link to the clearances.Note: This must be completed before the account is operational ","Drop down: Yes/ NoIf ""Yes"" - Retain evidenceIf ""No"" - complete Table 3 for referral to FCC","Conditional on any response to Q6.06 other than ""No screening hits identified""", 154,Screening,,6.08,6,,"Confirm a negative news search was conducted on the Customer in line with HSBC policy. Insert the link to the negative news search. If this capability is not available, manually input the data.Note: This will not be completed before the account is operational.",CheckboxRetain evidence,, 154,Screening,,6.09,6,,Provide details of any negative news hits where applicable.Note: This will not be completed before the account is operational.,"Free text: Details of Negative news hits, ""No negative news hits identified"" option available","Conditional on ""Yes"" response to Q6.08", 154,Screening,,6.11,#VALUE!,,"Confirm a negative facts search was conducted on the Customer in line with HSBC policy. Insert the link to the negative facts search. If this capability is not available, manually input the data.Note: This will not be completed before the account is operational.",Drop down: Yes / NoRetain evidence,, 154,Screening,,6.12,6,,Provide details of any negative facts hits where applicable.Note: This will not be completed before the account is operational.,"Free text: Details of Negative facts hits, ""No negative facts hits identified"" option available","Conditional on ""Yes"" response to Q6.11", 154,Screening,,6.13,6,,"Confirm that all negative facts hits have been resolved, and attach the link to the clearances.Note: This will not be completed before the account is operational.","Drop down: Yes/ NoIf ""Yes"" - Retain evidenceIf ""No"" - complete Table 3 for referral to FCC","Conditional on any response to Q6.12 other than ""No negative news hits identified""", 154,Screening,,11.a1,6,,What are the expected transfers in/out of the account?,"Free text: provide purpose, monthly value & volume and transfer method",, 154,Screening,,6.10,6,,"Confirm that all negative news hits have been resolved, and attach the link to the clearances.Note: This will not be completed before the account is operational.","Drop down: Yes/ NoIf ""Yes"" - Retain evidenceIf ""No"" - complete Table 3 for referral to FCC","Conditional on any response to Q6.09 other than ""No negative news hits identified""", 154,Screening,,7.01b,6,All,"Provide details of any screening hits, where applicable.","Free text: Details of Screening hits, ""No screening hits identified"" option available","Conditional on ""Yes"" response to Q7.01.", 154,Screening,,7.02b,6,All,"Confirm that all screening hits have been resolved, and attach the link to the clearances. ","Drop down: Yes/ NoIf ""Yes"" - Link to document repositoryIf ""No"" - complete Table 6 for referral to FCC","Conditional on any response to Q7.01b other than ""No screening hits identified""", 154,Screening,,7.03b,6,All,"Confirm a negative news search was conducted on the Customer in line with HSBC policy. Insert the link to the negative news search. If this capability is not available, manually input the data.",CheckboxLink to document repository,"Conditional on ""Yes"" response to Q3e.06d.2 OR ""Yes"" response to QA3.3 OR ""Yes"" response to QA3e.02", 154,Screening,,A7.03b,6,Low,"Confirm a negative news search was conducted on the Customer in line with HSBC policy. Insert the link to the negative news search. If this capability is not available, manually input the data.",CheckboxLink to document repository,"Conditional on ""No"" response to Q3e.06d.2 AND ""No"" response to QA3.3 AND ""No"" response to QA3e.02, and Conditional on response to either 8.02, 8.02d, A8.22 or A8.23 identifying an amount over US$150M ORConditional on table 2.1b identifying a country different to country of onboarding ORConditional on table 1 identifying a country different to country of onboarding", 154,Screening,,A7.03c,6,All,"Confirm that all negative news hits have been resolved, and attach the link to the clearances.","Drop down: Yes/ NoIf ""Yes"" - Link to document repositoryIf ""No"" - complete Table 6 for referral to FCC","Conditional on any response to Q7.03c other than ""No negative news hits identified""", 154,Screening,,A7.05,6,High/ SCC/ Medium,"Confirm a negative news search was conducted on the Customer in line with HSBC policy. Insert the link to the negative news search. If this capability is not available, manually input the data.",Check boxLink to document repository,"Conditional on ""No"" response to Q3e.06d.2 AND ""No"" response to QA3.3 AND ""No"" response to QA3e.02", 154,Screening,,A7.2,6,Low,Provide details of any negative facts hits where applicable.,"Free text: Details of Negative facts hits, ""No negative facts hits identified"" option available",, 154,Screening,,A7.4,6,Low,"Confirm that all negative facts hits have been resolved, and attach the link to the clearances.","Drop down: Yes/ NoIf ""Yes"" - Link to document repositoryIf ""No"" - complete Table 6 for referral to FCC",, 155,Customer Type,,A3e.02.s,16a,All,Is the Founder/Donor an Equivalently Regulated Financial Institution?,Drop down: Yes/ No,"Conditional on ""Yes"" response to T11.1", 155,Customer Type,,A3e.02.s,16a,All,Is the Settlor an Equivalently Regulated Financial Institution?,Drop down: Yes/ No,"Conditional on ""Yes"" response to T11.1", 156,Customer Type,,3e.06d.2.s,16a,All,Is the Founder/Donor an Acceptably Publicly Listed Entity?,Drop down: Yes/ No,"Conditional on ""Yes"" response to T11.1", 156,Customer Type,,3e.06d.2.s,16a,All,Is the Settlor an Acceptably Publicly Listed Entity?,Drop down: Yes/ No,"Conditional on ""Yes"" response to T11.1", 157,Customer Type,,A8.27.s,16a,All,Is the Founder/Donor a Commercial Operating Business or a Holding Company?,"Drop Down: Commercial Operating Business, Holding Company","Conditional on ""Yes"" response to T11.1", 157,Customer Type,,A8.27.s,16a,All,Is the Settlor a Commercial Operating Business or a Holding Company?,"Drop Down: Commercial Operating Business, Holding Company","Conditional on ""Yes"" response to T11.1", 158,Customer Type,,1.09.s,16a,All,What is the Founder's / Donor's standard industry classification code?,Check Box: list of standard industry classification codes and descriptions Multiple selection available,"Conditional on ""Yes"" response to T11.1", 158,Customer Type,,1.09.s,16a,All,What is the Settlor's standard industry classification code?,Check Box: list of standard industry classification codes and descriptions Multiple selection available,"Conditional on ""Yes"" response to T11.1", 159,Customer Type,,8.01.s,16a,All,"Describe the nature of the Founder's/Donor's business (or the Group's business if Founder/Donor is a Subsidiary), including their sources of revenues/ expected income, key products/ services, and where applicable, how the Subsidiary fits into the Group structure.",Free Text: description of nature of business,"Conditional on ""Yes"" response to T11.1Conditional on ""Commercial Operating Business"" response to QA8.27.s", 159,Customer Type,,8.01.s,16a,All,"Describe the nature of the Settlor's business (or the Group's business if Settlor is a Subsidiary), including their sources of revenues/ expected income, key products/ services, and where applicable, how the Subsidiary fits into the Group structure.",Free Text: description of nature of business,"Conditional on ""Yes"" response to T11.1Conditional on ""Commercial Operating Business"" response to QA8.27.s", 160,Customer Type,,A8.2.s,16a,All,What are the Founder's/Donor's key customer types?,Free Text: Customer's Key customer type,"Conditional on ""Yes"" response to T11.1Conditional on ""Commercial Operating Business"" response to QA8.27.s", 160,Customer Type,,A8.2.s,16a,All,What are the Settlor's key customer types?,Free Text: Customer's Key customer type,"Conditional on ""Yes"" response to T11.1Conditional on ""Commercial Operating Business"" response to QA8.27.s", 161,Combination,,A8.8.s,16a,All,Is the Founder/Donor reliant on any one key customer for more than 50% of the business activities? ,Drop down: Yes / No,"Conditional on ""Yes"" response to T11.1Conditional on ""Commercial Operating Business"" response to QA8.27.s", 161,Combination,,A8.8.s,16a,All,Is the business or Corporate Group reliant on any one key client for more than 50% of the business activities? ,Drop down: Yes / No,"Conditional on ""Yes"" response to T11.1", 162,Customer Type,,A8.21.s,16a,All,"What is the registered/ ""trading as"" name of the Key Customer (of the Founder/Donor)?","Free Text: Name""N/A"" - if an individual and refer to FCC","Conditional on ""Yes"" response to T11.1Conditional on ""Yes"" response to QA8.8.s", 162,Customer Type,,A8.21.s,8,All,"What is the registered/ ""trading as"" name of the key client?","Free Text: Name""N/A"" - if an individual and refer to FCC","Conditional on ""Yes"" response to T11.1Conditional on ""Yes"" response to QA8.8.s", 163,Customer Type,,A8.9.s,16a,All,What industry is the Founder / Donor's Key Customer primarily involved in?,Drop down: list of NACE2 codes (or local equivalent) and descriptions ,"Conditional on ""Yes"" response to T11.1Conditional on ""Yes"" response to QA8.8.s ANDNOT Response ""N/A"" to A8.21.s", 163,Customer Type,,A8.9.s,16a,All,What industry is the key client primarily involved in?,Drop down: list of NACE2 codes (or local equivalent) and descriptions ,"Conditional on ""Yes"" response to T11.1Conditional on ""Yes"" response to QA8.8.s ANDNOT Response ""N/A"" to A8.21.s", 164,Customer Type,,8.02a.s,16a,All,Select the most relevant key financial data for the Founder/Donor,"Check Box: ""Annual revenue"", ""Asset size"", ""Assets Under Management"", ""Other"" (Multiple select available)","Conditional on ""Yes"" response to T11.1", 164,Customer Type,,8.02a.s,16a,All,Select the most relevant key financial data for the Settlor.,"Check Box: ""Annual revenue"", ""Asset size"", ""Assets Under Management"", ""Other"" (Multiple select available)","Conditional on ""Yes"" response to T11.1", 165,Customer Type,,8.02.s,16a,All,What is the Founder's/Donor's approximate total annual revenue?,Free text: Total revenue,"Conditional on ""Yes"" response to T11.1Conditional on ""Annual revenue"" response to Q8.02a.s", 165,Customer Type,,8.02.s,16a,All,What is the Settlor's approximate total annual revenue?,Free text: Total revenue,"Conditional on ""Yes"" response to T11.1Conditional on ""Annual revenue"" response to Q8.02a.s", 166,Customer Type,,8.02d.s,16a,All,What is the Founder's/Donor's approximate total asset size?,Free text: Number,"Conditional on ""Yes"" response to T11.1Conditional on ""Asset size"" response to Q8.02a.s", 166,Customer Type,,8.02d.s,16a,All,What is the Settlor's approximate total asset size?,Free text: Number,"Conditional on ""Yes"" response to T11.1Conditional on ""Asset size"" response to Q8.02a.s", 167,Customer Type,,A8.22.s,16a,All,What is the approximate size of the Founder's/ Donor's Assets Under Management?,Free Text: Number,"Conditional on ""Yes"" response to T11.1Conditional on ""Asset Under Management"" response to Q8.02a.s", 167,Customer Type,,A8.22.s,16a,All,What is the approximate size of the Settlor's Assets Under Management?,Free Text: Number,"Conditional on ""Yes"" response to T11.1Conditional on ""Asset Under Management"" response to Q8.02a.s", 168,Customer Type,,8.03.s,16a,All,What is the name of the Founder's/Donor's audit or accounting firm?,"Free Text: Name of auditing firm or Accountant, ""Internal accounts prepared by the Customer"" option available","Conditional on ""Yes"" response to T11.1Conditional on ""Annual audited report and accounts"" or ""Unaudited report and accounts"" Response to Q8.02f.s", 168,Customer Type,,8.03.s,16a,All,What is the name of the Settlor's audit or accounting firm?,"Free Text: Name of auditing firm or Accountant, ""Internal accounts prepared by the Customer"" option available","Conditional on ""Yes"" response to T11.1Conditional on ""Annual audited report and accounts"" or ""Unaudited report and accounts"" Response to Q8.02f.s", 169,Combination,,8.1.s,16a,All,In which Country(ies) is the Settlor (including all subsidiaries and branches) physically present?,Check Box: list of Countries (Multiple select available)Instruction: Autopopulate Table 1.1 with all countries selected,"Conditional on ""Yes"" response to T11.1", 169,Combination,,8.10.s,16a,All,In which Country(ies) is the Founder/Donor (including all subsidiaries and branches) physically present?,Check Box: list of Countries (Multiple select available)Instruction: Autopopulate Table 1.1a with all countries selected,"Conditional on ""Yes"" response to T11.1", 170,Combination,,8.15.s,16a,All,"Confirm that table 1.1a has been completed for the approximate number of branches, subsidiaries, and local offices, in each Country that the Founder/Donor is present.",Drop down: Yes/ No,"Conditional on ""Yes"" response to T11.1", 170,Combination,,8.15.s,8,All,"Confirm that table 1.1 has been completed for the approximate number of branches, subsidiaries, and local offices, in each Country that the Customer is present.",Drop down: Yes/ No,"Conditional on ""Yes"" response to T11.1", 171,Customer Type,,A8.24.s,16a,All,Provide further details on why the Founder/ Donor has no employees.,Free Text: details on zero response to number of employees,"Conditional on ""Yes"" response to T11.1Conditional on ""0"" response to Q8.19.s ", 171,Customer Type,,A8.24.s,16a,All,Provide further details on why the Settlor's has no employees.,Free Text: details on zero response to number of employees,"Conditional on ""Yes"" response to T11.1Conditional on ""0"" response to Q8.19.s ", 174,,,A8.25,8,All,How are the funds going to be transferred to HSBC?,"Drop down: ""Cash"", ""Domestic Wire Transfer"", ""International Wire Transfer"", ""Cheque""",Conditional on response other than zero or N/A to QA8.13, 174,Conditionality,,A8.25,8,All,How are the funds going to be transferred to HSBC?,"Drop down: ""Cash"", ""Domestic Wire Transfer"", ""International Wire Transfer"", ""Cheque""","Conditional on non-zero response to QA8.13ANDConditional on ""Trading / donations / subscriptions"" response to T1.1", 174,Conditionality,,A8.25,8,All,How are the funds going to be transferred to HSBC?,"Drop down: ""Cash"", ""Domestic Wire Transfer"", ""International Wire Transfer"", ""Cheque""",Conditional on response other than zero or N/A to QA8.13, 174,Conditionality,,A8.25,8,All,How are the funds going to be transferred to HSBC?,"Drop down: ""Cash"", ""Domestic Wire Transfer"", ""International Wire Transfer"", ""Cheque""","Conditional on [""No"" response to Q3e.06d.2 AND ""No"" response to QA3.3 AND ""No"" response to QA3e.02] AND:Conditional on ""Business Income"", ""Business loan"", ""Investment by UBO/ Partner"", ""Sale of Property"", ""External Investment"" or ""Other"" response to QA8.14", 174,Conditionality,,A8.25,8,All,How are the funds going to be transferred to HSBC?,"Drop down: ""Cash"", ""Domestic Wire Transfer"", ""International Wire Transfer"", ""Cheque""","Conditional on ""Business Income"", ""Business loan"", ""Investment by Business Owner"", ""Sale of Property"", ""External Investment"" or ""Other"" response to QA8.14", 175,Combination,,A8.26,8,All,Confirm documentation has been obtained to validate the Source of Funds.,Drop down: Yes/ NoLink to document repository,, 175,Combination,,A8.26.s,8,All,Confirm documentation has been obtained to validate the Source of Funds.,Drop down: Yes/ NoLink to document repository,"If ""Cash"" is selected for QA8.25 validate if response to QA8.13.s is greater than or equal to US$10,000.Otherwise, validate if response to QA8.13 is greater than or equal to US$150,000", 176,Conditionality,,A8.33,8,All,"Where a non-significant amount is being deposited, will the Customer be depositing any significant sums in the future?",Drop down: Yes/ No,"Conditional on QA8.13 is less than US$150,000", 176,Conditionality,,A8.33,8,All,"Where a non-significant amount is being deposited, will the Customer be depositing any significant sums in the future?",Drop down: Yes/ No,"Conditional on [""No"" response to Q3e.03d.2 AND ""No"" response to QA3.3 AND ""No"" response to QA3e.02] AND QA8.13 is less than US$150,000", 180,Combination,,1.10c,14,All,Is the Trustee an HSBC Affiliate?,Drop down: Yes/ No,, 180,Combination,,1.10c,14,All,Is the Trustee an HSBC Affiliate?,Drop down: Yes/ NoInstruction: Complete Table 3,"(Question to be prompted more than once if multiple Trustees that are legal entities).Conditional on ""Legal Entity"" response to T11.7", 180,Combination,,1.10c,14,All,Is the Council Member an HSBC Affiliate?,Drop down: Yes/ No,"(Question to be prompted more than once if multiple Council members that are legal entities).Conditional on ""Legal Entity"" response to T11.7", 180,Combination,,1.10c,14,All,Is the Council Member an HSBC Affiliate?,Drop down: Yes/ No,(Question to be prompted more than once if multiple Council members that are legal entities)., 181,Wording,,T8.16,8,All,What is the country of Customer's ongoing funds? ,Drop down: CountryTable 1.2,, 181,Wording,,T8.16,8,All,Which country(ies) will the Customer's ongoing funds be obtained from? ,Drop down: Country (multi select)Complete table 1.2,, 182,Combination,,4.18,4,,What is the Customer's email address?,Free text: Email address,, 182,Combination,,GSB 5b,4,SCC,Provide a contact e-mail address for the Customer,Free text: E-mail address,"Conditional on ""Embassy"", ""High Commission"", ""Consulate/Consular office"", ""Trade Mission"", ""Diplomatic Office"", or ""Military AttachŽ"" response to GSB Q1", 183,Combination,,4.17,4,,"What is the Customer's telephone number (private/ home, mobile or work)?",Free text: Private/ home numberFree text: Mobile numberFree text: Work number(Including International dialling codes),, 183,Combination,,GSB 5c,4,SCC,Provide a contact telephone number for the Customer,Free text: Telephone Number,"Conditional on ""Embassy"", ""High Commission"", ""Consulate/Consular office"", ""Trade Mission"", ""Diplomatic Office"", or ""Military AttachŽ"" response to GSB Q1", 184,Combination,,C13.1.a,13,All,Confirm that Table 4.5 has been completed for all Managing Members.,"Drop down: Yes/ No/N/AIf ""No"", complete Table 6 for referral to FCC","Conditional on ""Club & Society"" or ""Professional Body & Association"" or ""Political Party"" or ""Trade Union"" response to QC8.1", 184,Combination,,GSB 13,13,SCC,Confirm that Table 4.5 has been completed for all Key Controllers,"Drop-down: Yes/NoInstruction: Complete GSB Table 4.5If ""No"", complete Table 6 for referral to FCC","Conditional on ""Embassy"", ""High Commission"", ""Consulate/Consular office"", ""Trade Mission"", ""Diplomatic Office"", or ""Military AttachŽ"" response to GSB Q1", 187,Combination,,MSB 6.5,23,All,Does the Customer provide on-going training for employees in respect of AML?,Drop down: Yes / No,"Conditional on Standalone MSB,, ""Principal MSB with Agents"", ""Third Party Payment Processor (""TPPP"") to MSB 2.4 or a ""Yes"" response to MSB 2.4e OR MSB 2.4d", 187,Combination,,NBFI 2.8,23,All,Does the Customer provide AML training to relevant employees?,Drop down: Yes / No ,"Conditional on ""Yes"" response to NBFI 2.0", 188,Combination,,MSB 6.6,23,All,Does the Customer have a designated officer responsible for their AML Programme with resources proportionate to the its size?,Drop down: Yes / No,"Conditional on ""Standalone MSB"" OR ""Principal MSB with Agents"" response to MSB 2.4 OR a ""Yes"" response to MSB 2.4e OR MSB 2.4d", 188,Combination,,NBFI 2.13,23,All,Does the Customer have a designated officer responsible for their AML programme?,Drop down: Yes / No ,"Conditional on ""Yes"" response to NBFI 2.0", 189,Combination,,MSB 6.7,23,All,Does the Customer operate and support an independent audit function that assesses AML policies and practices on a regular basis?,Drop down: Yes / No ,"Conditional on ""Standalone MSB"" OR ""Principal MSB with Agents"" response to MSB 2.4 OR a ""Yes"" response to MSB 2.4e OR MSB 2.4d", 189,Combination,,NBFI 2.14,23,All,Does the Customer operate and support an internal audit function or other independent third party that assesses AML policies and practices on a regular basis?,Drop down: Yes / No ,"Conditional on ""Yes"" response to NBFI 2.0", 190,Combination,,Gaming Operations 4.19,23,All,Document a summary of the Customer responses in support of the positive answers received,Free text,"Conditional on alignment between responses to A2.1a2 and Corp & Part 8.10 or Sole Traders 8.10; AND ""Yes"" or ""N/A"" response to Gaming Operations 2.1; AND""No"" response to Gaming Operations 2.11 AND ""No"" response to Gaming Operations 2.11a AND no high-risk country is included within the countries listed within the response to Corp & Part or Sole Trader Table 1.2 'Country Trading Counterparts' (as part of Corp & Part QA8.3)", 190,Combination,,MSB 6.9,23,All,Document a summary of the Customer responses in support of the answers received.,Free Text,"Conditional on ""Standalone MSB"" OR ""Principal MSB with Agents"" response to MSB 2.4 OR a ""Yes"" response to MSB 2.4e OR MSB 2.4d", 190,Combination,,NBFI 2.29,23,All,Document a summary of the Customer responses in support of the positive answers received,Instruction: Free Text,"Conditional on ""Yes"" response to NBFI 2.0", 191,Combination,,33.3c.2,33a,All,Does the legal entity/entities with exposure bank with HSBC?,Drop down: Yes / No,"Conditional on ""Yes"" response to Q33.1", 191,Combination,,33.3c.2,33a,All,Does the legal entity/entities with exposure bank with HSBC?,Drop down: Yes / No,"Conditional on ""Trading / donations / subscriptions"" OR ""Holding Trust (linked to a commercial business) "" response to T1.1 ANDConditional on ""Yes"" response to Q33.1", 191,Combination,,33.3c.2,6,All,Does the legal entity/entities with exposure bank with HSBC?,Drop down: Yes / No,"Conditional on ""Yes"" response to Q33.1", 191,Combination,,NBFI 33.3c.2,33a,All,Does the legal entity/entities with exposure bank with HSBC?,Drop down: Yes / No,"Conditional on ""Yes"" response to NBFI 33.1", 192,Conditionality,,a33b.06,33b,All,What TI CPI ² 22 Countries does the Customer have exposure to?,Drop down list (multi-select): TI CPI ² 22 Countries list,"Conditional on ""Yes"" response to Qa33b.05", 192,Conditionality,,a33b.06,33b,All,What TI CPI ² 22 Countries does the Customer have exposure to?,Drop down list (multi-select): TI CPI ² 22 Countries list,"Conditional on ""Trading / donations / subscriptions"" OR ""Holding Foundation (linked to a commercial business) "" response to T1.1 ANDConditional on ""Yes"" response to Qa33b.05", 193,Combination,,33.3,6,All,What is the nature of the exposure to this country/countries?,"Drop down list (multi-select): ""Domiciled in Sensitive Sanctioned country"", ""Owned by beneficial owners domiciled in a Sensitive Sanctioned Country"", ""Operates in a Sensitive Sanctioned Country"", ""Has investments in a Sensitive Sanctioned Country"", ""Selling to customers or providing services in Sensitive Sanctioned Country"", ""Buying from suppliers in Sensitive Sanctioned Country""","Conditional on ""Yes"" response to Q33.1", 193,Combination,,a33b.07,33a,All,What is the nature of the exposure to this country/countries?,"Drop down list (multi-select): ""Incorporated/registered/formed in TI CPI ² 22 country"", ""Owned by beneficial owners domiciled in a TI CPI ² 22 country"", ""Operates in a TI CPI ² 22 country"", ""Has investments in a TI CPI ² 22 country"", ""Selling to customers or providing services in TI CPI ² 22 countries"", ""Buying from suppliers in TI CPI ² 22 countries""","Conditional on ""Yes"" response to Qa33b.05", 193,Combination,,a33b.07,33a,All,What is the nature of the exposure to this country/countries?,"Drop down list (multi-select): ""Incorporated in TI CPI ² 22 country"", ""Owned by beneficial owners domiciled in a TI CPI ² 22 country"", ""Operates in a TI CPI ² 22 country"", ""Has investments in a TI CPI ² 22 country"", ""Selling to customers or providing services in TI CPI ² 22 countries"", ""Buying from suppliers in TI CPI ² 22 countries""","Conditional on ""Trading / donations / subscriptions"" OR ""Holding Foundation (linked to a commercial business) "" response to T1.1 ANDConditional on ""Yes"" response to Qa33b.05", 194,Combination,,33.3b,33a,All,Provide a detailed description of the nature of operations in this country/countries,Free text: Description of nature of operations,"Conditional on ""Operates in a sensitive country"" response to Q33.3", 194,Combination,,33.3b,6,All,Provide a detailed description of the nature of operations in this country/countries,Free text: Description of nature of operations,"Conditional on ""Yes"" response to Q33.1", 194,Combination,,a33.3b,33a,All,Provide a detailed description of the nature of operations in this country/countries,Free text: Description of nature of operations,"Conditional on ""Operates in a TI CPI ² 22 country"" response to Qa33b.07", 194,Combination,,33.3b,33a,All,Provide a detailed description of the nature of operations in this country/countries,Free text: Description of nature of operations,"Conditional on ""Trading / donations / subscriptions"" OR ""Holding Trust (linked to a commercial business) "" response to T1.1 ANDConditional on ""Operates in a sensitive country"" response to Q33.3", 195,Combination,,a33b.08,33b,All,Are HSBC products used to process/support the transactions with this TI CPI ² 22 Country?,Drop down: Yes / No,"Conditional on ""Yes"" response to Q33.3c.2", 195,Combination,,a33b.08,33b,All,Are HSBC products used to process/support the transactions with this TI CPI ² 22 Country?,Drop down: Yes / No,"Conditional on ""Yes"" response to Q NBFI 33.3c.2", 195,Combination,,a33b.08,33b,All,Are HSBC products used to process/support the transactions with this TI CPI ² 22 Country?,Drop down: Yes / No,"Conditional on ""Trading / donations / subscriptions"" OR ""Holding Foundation (linked to a commercial business) "" response to T1.1 ANDConditional on ""Yes"" response to Q33.3c.2", 196,Conditionality,,a33b.13,33b,All,Does the exposure to TI CPI ² 22 Countries exceed tolerance levels?,Autopopulate Drop down: Yes / No,"Conditional on ""Yes"" response to Qa33b.05", 196,Conditionality,,a33b.13,33b,All,Does the exposure to TI CPI ² 22 Countries exceed tolerance levels?,Autopopulate: Drop Down: Yes / No,"Conditional on ""Trading / donations / subscriptions"" OR ""Holding Trust (linked to a commercial business) "" response to T1.1 ANDConditional on ""Yes"" response to Qa33b.05", 197,Combination,,Cap39,24?,All,Which party is subject to Visitation?,Drop-down: Captive / Insurance Manager,"Conditional on ""Yes"" response to Q24.01 (Corporate Template) AND ""Yes"" to Cap5", 197,Combination,,T24.01,24,All,Which party was visited?,Drop down: TrustTrusteeSettlorOther,"Conditional on ""Yes"" response to Q24.02", 200,Q Ref,,2.04,2,All,State the final FCRR of the Customer,"Drop Down: Low, Medium, High, SCC",, 200,Q Ref,,2.02,2,,State the final FCRR of the Customer,"Drop down: Low, Medium, High, SCC(Restricted to the same or higher risk rating as 2.01) ",, 201,Q Ref,,1.04,1,,What is the purpose of this profile review?,"Drop down: Purpose of review""New Customer On boarding"", ""Periodic Review"", ""Trigger Event Review"", ""Remediation"", ""New product/service"", ""Reopening/ reactivation of relationship"", ""Change in Customer Segmentation""",, 201,Q Ref,,1.06b,1,All,What is the purpose of this profile review?,"Drop down: Purpose of review""New Customer Onboarding"", ""Periodic Review"", ""Trigger Event Review"", ""Remediation"", ""First Periodic Review following GS deployment"", ""Mastergroup""",, 202,Q Ref,,1.05,1,All,What is the Customer's HSBC unique identification number?,Free text: Reference number,, 202,Q Ref,,1.03,1,,What is the Customer's HSBC unique identification number?,"System generated if New CustomerIf Existing Customer, the data field will be free text to enable a look up based on: number/ full name of Customer","Conditional on ""Yes"" response to Q16.01", 203,Combination,,A13.4,10a,All,"For at least two Key Controllers, confirm that the Permanent residential address been identified and populated in table 4.3a.","Drop down: Yes/ NoIf ""No"", complete Table 6 for referral to FCC","Response ""Trading / donations / subscriptions"" to T1.1 ", 203,Combination,,A13.4.s,10a,All,"For at least two Key Controllers, confirm that the Permanent residential address been identified and populated in table 4.3a.",Drop down: Yes/ No,"Conditional on ""Yes"" response to T11.1", 204,Combination,,A14.03,10a,All,"Has the full name, position/title, date of birth and permanent residential address of two Key Controllers been verified with the supporting evidence added to table 4.3a?","Drop Down: Yes/ NoIf ""No"", complete Table 6 for referral to FCC","Response ""Trading / donations / subscriptions"" to T1.1 ", 204,Combination,,A14.03.s,10a,All,"Has the full name, position/title, date of birth and permanent residential address of two Key Controllers been verified with the supporting evidence added to table 4.3a?",Drop Down: Yes/ No,"Conditional on ""Yes"" response to T11.1 ", 205,Combination,,A33.02,6,All,What Sensitive Sanctioned Countries does the Customer have exposure to?,Drop down list (multi-select): Sensitive Sanctioned Countries list,"Conditional on ""Yes"" response to Q33.1", 205,Combination,,A33.02,33a,All,What Sensitive Sanctioned Countries does the Customer have exposure to?,Drop down list (multi-select): Sensitive Sanctioned Countries list,"Conditional on ""Yes"" response to Q33.1", 205,Combination,,A33.02,33a,All,What Sensitive Sanctioned Countries does the Customer have exposure to?,Drop down list (multi-select): Sensitive Sanctioned Countries list,"Conditional on ""Trading / donations / subscriptions"" OR ""Holding Trust (linked to a commercial business) "" response to T1.1 ANDConditional on ""Yes"" response to Q33.1", 205,Combination,,A33.02,33a,All,What Sensitive Sanctioned Countries does the Customer have exposure to?,Drop down list (multi-select): Sensitive Sanctioned Countries list,"Conditional on ""Trading / donations / subscriptions"" OR ""Holding Foundation (linked to a commercial business) "" response to T1.1 ANDConditional on ""Yes"" response to Q33.1", 205,Combination,,NBFI A33.02,33a,All,What Sensitive Sanctioned Countries does the Customer have exposure to?,Drop down list (multi-select): Sensitive Sanctioned Countries list,"Conditional on ""Yes"" response to NBFI 33.1", 206,Conditionality,,33.3,33a,All,What is the nature of the exposure to this country/countries?,"Drop down list (multi-select): ""Domiciled in Sensitive Sanctioned country"", ""Owned by beneficial owners domiciled in a Sensitive Sanctioned Country"", ""Operates in a Sensitive Sanctioned Country"", ""Has investments in a Sensitive Sanctioned Country"", ""Selling to customers or providing services in Sensitive Sanctioned Country"", ""Buying from suppliers in Sensitive Sanctioned Country""","Conditional on ""Yes"" response to Q33.1", 206,Conditionality,,33.3,33a,All,What is the nature of the exposure to this country/countries?,"Drop down list (multi-select): ""Domiciled in Sensitive Sanctioned country"", ""Owned by beneficial owners domiciled in a Sensitive Sanctioned Country"", ""Operates in a Sensitive Sanctioned Country"", ""Has investments in a Sensitive Sanctioned Country"", ""Selling to customers or providing services in Sensitive Sanctioned Country"", ""Buying from suppliers in Sensitive Sanctioned Country""","Conditional on ""Trading / donations / subscriptions"" OR ""Holding Trust (linked to a commercial business) "" response to T1.1 ANDConditional on ""Yes"" response to Q33.1", 206,Conditionality,,33.3,33a,All,What is the nature of the exposure to this country/countries?,"Drop down list (multi-select): ""Domiciled in Sensitive Sanctioned country"", ""Owned by beneficial owners domiciled in a Sensitive Sanctioned Country"", ""Operates in a Sensitive Sanctioned Country"", ""Has investments in a Sensitive Sanctioned Country"", ""Selling to customers or providing services in Sensitive Sanctioned Country"", ""Buying from suppliers in Sensitive Sanctioned Country""","Conditional on ""Trading / donations / subscriptions"" OR ""Holding Foundation (linked to a commercial business) "" response to T1.1 ANDConditional on ""Yes"" response to Q33.1", 206,Q Ref,,NBFI 33.3,33a,All,What is the nature of the exposure to this country/countries?,"Drop down list (multi-select): ""Domiciled in Sensitive Sanctioned country"", ""Owned by beneficial owners domiciled in a Sensitive Sanctioned Country"", ""Operates in a Sensitive Sanctioned Country"", ""Has investments in a Sensitive Sanctioned Country"", ""Selling to customers or providing services in Sensitive Sanctioned Country"", ""Buying from suppliers in Sensitive Sanctioned Country""","Conditional on ""Yes"" response to NBFI 33.1", 207,Combination,,33.8b,33a,All,Are HSBC products used to process/support the transactions with this sensitive country?,Drop down: Yes / No,"Conditional on ""Yes"" response to Q33.3c.2", 207,Combination,,33.8b,33a,All,Are HSBC products used to process/support the transactions with this sensitive country?,Drop down: Yes / No,"Conditional on ""Trading / donations / subscriptions"" OR ""Holding Trust (linked to a commercial business) "" response to T1.1 ANDConditional on ""Yes"" response to Q33.3c.2", 207,Combination,,33.8b,33a,All,Are HSBC products used to process/support the transactions with this sensitive country?,Drop down: Yes / No,"Conditional on ""Trading / donations / subscriptions"" OR ""Holding Foundation (linked to a commercial business) "" response to T1.1 ANDConditional on ""Yes"" response to Q33.3c.2", 207,Combination,,33.8b,6,All,Are HSBC products used to process/support the transactions with this sensitive country?,Drop down: Yes / No,"Conditional on ""Yes"" response to Q33.1", 207,Combination,,NBFI 33.8b,33a,All,Are HSBC products used to process/support the transactions with this sensitive country?,Drop down: Yes / No,"Conditional on ""Yes"" response to NBFI 33.3c.2", 208,Conditionality,,A33.01,33a,All,Confirm that the case has been referred to FCC Sanctions.,Drop Down: Yes/ No,"Conditional on ""Yes"" response to Q33.1", 208,Conditionality,,A33.01,33a,All,Confirm that the case has been referred to FCC Sanctions.,Drop Down: Yes/ No,"Conditional on ""Trading / donations / subscriptions"" OR ""Holding Trust (linked to a commercial business) "" response to T1.1 ANDConditional on ""Yes"" response to Q33.1", 208,Conditionality,,A33.01,33a,All,Confirm that the case has been referred to FCC Sanctions.,Drop Down: Yes/ No,"Conditional on ""Trading / donations / subscriptions"" OR ""Holding Foundation (linked to a commercial business) "" response to T1.1 ANDConditional on ""Yes"" response to Q33.1", 208,Q Ref,,NBFI A33.01,33a,All,Confirm that the case has been referred to FCC Sanctions.,Drop Down: Yes/ No,"Conditional on ""Yes"" response to NBFI 33.1", 209,Conditionality,,33.1b,33a,All,Has the Customer confirmed in writing that they will not utilise any accounts with HSBC to facilitate payments to any person or entity listed on a sanctions list or is located in a sanctioned country that may cause a breach of any sanctions laws by the group?,Drop down: Yes / NoLink to document repository,"Conditional on ""Yes"" response to Q33.1", 209,Conditionality,,33.1b,33a,All,Has the Customer confirmed in writing that they will not utilise any accounts with HSBC to facilitate payments to any person or entity listed on a sanctions list or is located in a sanctioned country that may cause a breach of any sanctions laws by the group?,Drop down: Yes / NoLink to document repository,"Conditional on ""Trading / donations / subscriptions"" OR ""Holding Trust (linked to a commercial business) "" response to T1.1 ANDConditional on ""Yes"" response to Q33.1", 209,Conditionality,,33.1b,33a,All,Has the Customer confirmed in writing that they will not utilise any accounts with HSBC to facilitate payments to any person or entity listed on a sanctions list or is located in a sanctioned country that may cause a breach of any sanctions laws by the group?,Drop down: Yes / NoLink to document repository,"Conditional on ""Trading / donations / subscriptions"" OR ""Holding Foundation (linked to a commercial business) "" response to T1.1 ANDConditional on ""Yes"" response to Q33.1", 209,Q Ref,,NBFI 33.1b,33a,All,Has the Customer confirmed in writing that they will not utilise any accounts with HSBC to facilitate payments to any person or entity listed on a sanctions list or is located in a sanctioned country that may cause a breach of any sanctions laws by the group?,Drop down: Yes / NoLink to document repository,"Conditional on ""Yes"" response to NBFI 33.1", 210,Conditionality,,33.2b,33a,All,"Confirm that the ""Sensitive Country Detail"" tab has been populated with details of the relationships between the relevant legal entities and each of the Sensitive Sanctioned Countries that they deal with",Drop Down: Yes/ No,"Conditional on ""Yes"" response to Q33.1", 210,Conditionality,,33.2b,33a,All,"Confirm that the ""Sensitive Country Detail"" tab has been populated with details of the relationships between the relevant legal entities and each of the Sensitive Sanctioned Countries that they deal with",Drop Down: Yes/ No,"Conditional on ""Trading / donations / subscriptions"" OR ""Holding Trust (linked to a commercial business) "" response to T1.1 ANDConditional on ""Yes"" response to Q33.1", 210,Conditionality,,33.2b,33a,All,"Confirm that the ""Sensitive Country Detail"" tab has been populated with details of the relationships between the relevant legal entities and each of the Sensitive Sanctioned Countries that they deal with",Drop Down: Yes/ No,"Conditional on ""Trading / donations / subscriptions"" OR ""Holding Foundation (linked to a commercial business) "" response to T1.1 ANDConditional on ""Yes"" response to Q33.1", 210,Q Ref,,NBFI 33.2b,33a,All,"Confirm that the ""Sensitive Country Detail"" tab has been populated with details of the relationships between the relevant legal entities and each of the Sensitive Sanctioned Countries that they deal with",Drop Down: Yes/ No,"Conditional on ""Yes"" response to NBFI 33.1", 211,Conditionality,,33.13,33a,All,Describe the control procedures that the Customer has in place to monitor transactions with Sensitive Sanctioned Countries and ensure they remain compliant with sanctions regulations,Free text: Description of controls,"Conditional on ""Yes"" response to Q33.1", 211,Conditionality,,33.13,33a,All,Describe the control procedures that the Customer has in place to monitor transactions with Sensitive Sanctioned Countries and ensure they remain compliant with sanctions regulations,Free text: Description of controls,"Conditional on ""Trading / donations / subscriptions"" OR ""Holding Trust (linked to a commercial business) "" response to T1.1 ANDConditional on ""Yes"" response to Q33.1", 211,Conditionality,,33.13,33a,All,Describe the control procedures that the Customer has in place to monitor transactions with Sensitive Sanctioned Countries and ensure they remain compliant with sanctions regulations,Free text: Description of controls,"Conditional on ""Trading / donations / subscriptions"" OR ""Holding Foundation (linked to a commercial business) "" response to T1.1 ANDConditional on ""Yes"" response to Q33.1", 211,Q Ref,,NBFI 33.13,33a,All,Describe the control procedures that the Customer has in place to monitor transactions with Sensitive Sanctioned Countries and ensure they remain compliant with sanctions regulations,Free text: Description of controls,"Conditional on ""Yes"" response to NBFI 33.1", 212,Conditionality,,33.14,33a,All,What is the Customers approach to future business development in Sensitive Sanctioned Countries and the anticipated timing of such actions?,"Free text: Description of business plan with respect to Sensitive Sanctioned Countries, including timings. ","Conditional on ""Yes"" response to Q33.1", 212,Conditionality,,33.14,33a,All,What is the Customers approach to future business development in Sensitive Sanctioned Countries and the anticipated timing of such actions?,"Free text: Description of business plan with respect to Sensitive Sanctioned Countries, including timings. ","Conditional on ""Trading / donations / subscriptions"" OR ""Holding Trust (linked to a commercial business) "" response to T1.1 ANDConditional on ""Yes"" response to Q33.1", 212,Conditionality,,33.14,33a,All,What is the Customers approach to future business development in Sensitive Sanctioned Countries and the anticipated timing of such actions?,"Free text: Description of business plan with respect to Sensitive Sanctioned Countries, including timings. ","Conditional on ""Trading / donations / subscriptions"" OR ""Holding Foundation (linked to a commercial business) "" response to T1.1 ANDConditional on ""Yes"" response to Q33.1", 212,Q Ref,,NBFI 33.14,33a,All,What is the Customers approach to future business development in Sensitive Sanctioned Countries and the anticipated timing of such actions?,"Free text: Description of business plan with respect to Sensitive Sanctioned Countries, including timings. ","Conditional on ""Yes"" response to NBFI 33.1", 213,Conditionality,,33.23,33a,All,Any other relevant information,Free text: Description of any other relevant information,"Conditional on ""Yes"" response to Q33.1", 213,Conditionality,,33.23,33a,All,Any other relevant information,Free text: Description of any other relevant information,"Conditional on ""Trading / donations / subscriptions"" OR ""Holding Trust (linked to a commercial business) "" response to T1.1 ANDConditional on ""Yes"" response to Q33.1", 213,Conditionality,,33.23,33a,All,Any other relevant information,Free text: Description of any other relevant information,"Conditional on ""Trading / donations / subscriptions"" OR ""Holding Foundation (linked to a commercial business) "" response to T1.1 ANDConditional on ""Yes"" response to Q33.1", 213,Q Ref,,NBFI 33.23,33a,All,Any other relevant information,Free text: Description of any other relevant information,"Conditional on ""Yes"" response to NBFI 33.1", 214,Conditionality,,33.15,33a,All,Describe the control procedures in place around the flow of funds between a branch in a Sensitive Sanctioned Countries and its parent entity,Free text: Description of controls,"Conditional on ""Yes"" response to Q33.1", 214,Conditionality,,33.15,33a,All,Describe the control procedures in place around the flow of funds between a branch in a Sensitive Sanctioned Countries and its parent entity,Free text: Description of controls,"Conditional on ""Trading / donations / subscriptions"" OR ""Holding Trust (linked to a commercial business) "" response to T1.1 ANDConditional on ""Yes"" response to Q33.1", 214,Conditionality,,33.15,33a,All,Describe the control procedures in place around the flow of funds between a branch in a Sensitive Sanctioned Countries and its parent entity,Free text: Description of controls,"Conditional on ""Trading / donations / subscriptions"" OR ""Holding Foundation (linked to a commercial business) "" response to T1.1 ANDConditional on ""Yes"" response to Q33.1", 214,Q Ref,,NBFI 33.15,33a,All,Describe the control procedures in place around the flow of funds between a branch in a Sensitive Sanctioned Countries and its parent entity,Free text: Description of controls,"Conditional on ""Yes"" response to NBFI 33.1", 215,Combination,,33.21,33a,All,Does the exposure to Sensitive Sanctioned Countries exceed tolerance levels?,Autopopulate Drop Down: Yes / No,"Conditional on ""Yes"" response to Q33.1", 215,Combination,,33.21,33a,All,Does the exposure to Sensitive Sanctioned Countries exceed tolerance levels?,Autopopulate: Drop Down: Yes / No,"Conditional on ""Trading / donations / subscriptions"" OR ""Holding Trust (linked to a commercial business) "" response to T1.1 ANDConditional on ""Yes"" response to Q33.1", 215,Combination,,33.21,6,All,Does the exposure to Sensitive Sanctioned Countries exceed tolerance levels?,Autopopulate: Yes / No,"Conditional on ""Trading / donations / subscriptions"" OR ""Holding Foundation (linked to a commercial business) "" response to T1.1 ANDConditional on ""Yes"" response to Q33.1", 215,Combination,,33.21,6,All,Does the exposure to Sensitive Sanctioned Countries exceed tolerance levels?,Autopopulate: Yes / No,"Conditional on ""Yes"" response to Q33.1", 215,Combination,,NBFI 33.21,33a,All,Does the exposure to Sensitive Sanctioned Countries exceed tolerance levels?,Auto populate: Yes / No,"Conditional on ""Yes"" response to NBFI 33.1", 216,Q Ref,,1.19,1,All,Who is the Global CDD Owner for the overall relationship group?,Free Text: Name of Global CDD Owner,"Conditional on ""Yes"" response to QA1.04", 216,Q Ref,,1.19,1,,"In which country are the Customer's product(s) booked? (""HSBC Booking Centre"")",Drop down: List of all countries,, 217,Conditionality,,NBFI 0.7,1,All,Is the Customer a Large NBFI?,"Auto-populated: Yes / No; where: - Either (""Yes"" response to Corp & Part A3.3) OR (""Yes"" response to Corp & Part 3e.06d.2) ","Conditional on ""Non-Bank"" response to NBFI 0.1 Conditional on ""Yes"" to QA3e.02 (is an ERFI). ", 217,Conditionality,,NBFI 0.7,1,All,Is the Customer a Large NBFI?,"Auto-populated: Yes / No; where: - Either (""Yes"" response to Corp & Part A3.3) OR (""Yes"" response to Corp & Part 3e.06d.2) ","Conditional on ""Non-Bank"" response to NBFI 0.1 ", 218,Combination,,2,1,All,What is the role of HSBC in the structure? ,"Drop-down: Executing Broker, Clearing Broker, Settlement Agent Banker, Prime Broker, Custodian, Administrator, Trustee, Depositary,Transfer Agent, Banker/Counterparty, Other [Multi-select]",, 218,Combination,,G3,1,All,What is the role of HSBC in the structure? ,Drop-down: Lender/ Agent/ Mandated Lead Arranger or Manager,"Conditional on ""Onboarding/Renewal"" response to GQ1", 218,Combination,,SL 2,1,All,What is the role of HSBC in the structure? ,Drop-down: Borrower/ Mandated Lead Arranger/Manager/Bookrunner/ Lender/ Agent/ Security Agent/ Seller/ Buyer (multi-select),, 218,Combination,,SPV 2,1,All,What is the role of HSBC in the structure? ,Drop-down: Arranger/ CTLA Provider/ Broker/Dealer/ Lender (multi-select),, 219,Conditionality,,4.05,4,All,What is the Customer's Internet website URL (if available)? ,"Free text: Website address, N/A option available",, 219,Conditionality,,4.05,4,All,What is the Customer's Internet website URL (if available)? ,"Free text: Website address, N/A option available","Conditional on ""Trading / donations / subscriptions"" response to QT1.1", 220,Customer Type,,T7.1,4,All,What legal document (e.g. Trust Instrument) has been obtained to verify the legal existence of / information about the Customer?,"Drop down (multiple option may be chosen)¥Full Trust Agreement/Deed (including amendments)¥Certified copy of redacted Trust Agreement/ Trust Deed (a copy with sensitive or confidential words/phrases hidden) - refer to FCC as to whether the documentation provided is sufficient. Trustee Declaration should be obtained. ¥ Signed Trustee Declaration (must be obtained if a Certified Copy of redacted Trust Agreement/ Deed is obtained)¥ Corporate Certificate¥ Organisational structure (where appropriate but mandatory for complex Trust structures e.g. Holding Trusts linked to a business) ¥ Document setting out professional advice received from a CustomerÕs legal or tax adviser, if any¥ Search confirming existence on approved government websites. The website must be approved by Local Compliance as an acceptable form of verification.¥ Confirmation letter from a Professional Service ¥Provider that the Trust Deed was provided to them by the Trustee",, 220,Customer Type,,T7.1,4,All,What legal document (e.g. Foundation Instrument) has been obtained to verify the legal existence/ information about the Customer?,Multiple may be chosen:¥ Full Foundation Charter ¥Certified copy of redacted Foundation Charter¥ Signed Declaration from Council Member¥ Confirmation letter from a Professional Service Provider ¥ Document setting out professional advice ¥ Search confirming existence on approved government websites.,, 221,Conditionality,,A8.32,8,All,Is the Nature of business consistent with the Customer mastergroup?,Drop down: Yes/ No,, 221,Conditionality,,A8.32,8,All,Is the Nature of business consistent with the Customer mastergroup?,Drop down: Yes/ No,"Conditional on ""Yes"" response to QC8.4 AND Response ""Yes"" to QA1.04", 222,Conditionality,,8.02a,8,All,Select the most relevant key financial data for the Customer.,"Check Box: ""Annual revenue"", ""Asset size"", ""Assets Under Management"", ""Other"" (Multiple select available)",, 222,Conditionality,,8.02a,8,All,Select the most relevant key financial data for the Customer.,"Check Box: ""Annual revenue"", ""Asset size"", ""Assets Under Management"", ""Other"" (Multiple select available)","Conditional on ""Trading / donations / subscriptions"" response to T1.1", 223,Conditionality,,8.02d,8,All,What is the Customer's approximate total asset size?,Free text: Number,"Conditional on ""Asset size"" response to Q8.02a", 223,Conditionality,,8.02d,8,All,What is the Customer's approximate total asset size?,Free Text: Number,"Conditional on ""Trading / donations / subscriptions"" response to T1.1 AND conditional on ""Asset Size"" response to Q8.02a", 224,Conditionality,,A8.23,8,All,"If ""Other"" response selected, provide a description of the Key Financial data and its approximate total size.",Free Text: detail of Key Financial data and figure,"Conditional on ""Other"" response to Q8.02a", 224,Conditionality,,A8.23,8,All,"If ""Other"" response selected, provide a description of the Key Financial data and its approximate total size.",Free Text: detail of Key Financial data and figure,"Conditional on ""Trading / donations / subscriptions"" response to T1.1conditional on ""Other"" response to Q8.02a", 225,Conditionality,,A7.7,8,All,"If ""Other"" response selected, provide further details of the source of information.",Free Text: Further details,"Conditional on ""Other"" response to Q8.02f", 225,Conditionality,,A7.7,8,All,"If ""Other"" response selected, provide further details of the source of information.",Free Text: further details,"Conditional on ""Trading / donations / subscriptions"" response to T1.1Conditional on ""Other"" response to Q8.02f", 226,Conditionality,,A8.24,8,All,Provide further details on why the Customer has no employees.,Free Text: details on zero response to number of employees,"Conditional on ""0"" response to Q8.19 OR QA8.31", 226,Conditionality,,A8.24,8,All,Provide further details on why the Customer has no employees.,Free Text: details on zero response to number of employees,"Conditional on ""Trading / donations / subscriptions"" response to T1.1Conditional on ""0"" response to Q8.19 ", 227,Conditionality,,8.17,8,All,Have there been any material changes to the business over the past five years or since the last review?,Drop down: Yes / No,, 227,Conditionality,,8.17,8,All,Have there been any material changes to the business over the past five years or since the last review?,Drop down: Yes / No,"Conditional on ""Trading / donations / subscriptions"" response to T1.1", 227,Wording,,8.17,8,All,Have there been any material changes to the operations over the past five years or since the last review?,Drop down: Yes / No,, 228,Conditionality,,8.18,8,All,Document these significant changes.,Free text: changes to the business,"Conditional on ""Yes"" response to Q8.17", 228,Conditionality,,8.18,8,All,Document these significant changes.,Free text: changes to the business,"Conditional on ""Trading / donations / subscriptions"" response to T1.1Conditional on ""Yes"" response to 8.17", 229,Conditionality,,T7.6,8,All,"What is the nature, location and structure of asset holdings?",Free text: nature (e.g. property type / number) and location (including country) to be noted ,, 229,Conditionality,,T7.6,8,All,"What is the nature, location and structure of asset holdings?",Free text: nature (e.g. property type / number) and location (including country) to be noted ,"Conditional on ""Trading / donations / subscriptions"" response to T1.1", 230,Conditionality,,T8.02,8,All,Does the Customer use debt instruments for funds being provided to Beneficiaries or on behalf of Beneficiaries? ,Drop Down: Yes / No,"Conditional on ""Holding Trust (linked to a PIC/PIV or individual)"" response to T1.1", 230,Conditionality,,T8.02,8,All,Does the Customer use debt instruments for funds being provided to Beneficiaries or on behalf of Beneficiaries? ,Drop Down: Yes / No,"Conditional on ""Holding Foundation (linked to a PIC/PIV or individual)"" response to T1.1", 231,Conditionality,,T8.02a,8,All,Document the type of debt instruments provided and the reason for providing of debt instruments by the Customer.,Free Text: document the type of debt instruments used and the reason for use of debt instruments,"Conditional on ""Holding Trust (linked to a PIC/PIV or individual)"" response to T1.1 ANDConditional on ""Yes"" response to T8.02", 231,Conditionality,,T8.02a,8,All,Document the type of debt instruments provided and the reason for providing of debt instruments by the Customer.,Free Text: document the type of debt instruments used and the reason for use of debt instruments,"Conditional on ""Holding Foundation (linked to a PIC/PIV or individual)"" response to T1.1 ANDConditional on ""Yes"" response to T8.02", 232,Conditionality,,T14.16,11,All,Identify all Beneficiaries along with their ownership percentage(s) and complete table 4.,"Instruction: Complete Table 4If unable to identify, escalate to FCC","Conditional on ""Holding Trust (linked to a PIC/PIV or individual)"" response to T1.1 ANDConditional on ""Named"" response to T14.1 ANDConditional on ""1-20"" response to T14.16a", 232,Conditionality,,T14.16,11,All,Identify all Beneficiaries along with their ownership percentage(s) and complete table 4.,"Instruction: Complete Table 4If unable to identify, escalate to FCC","Conditional on ""Holding Foundation (linked to a PIC/PIV or individual)"" response to T1.1 ANDConditional on ""Named"" response to T14.1Conditional on ""1-20"" response to T14.16a", 233,Conditionality,,T14.9,11,High/ SCC,Identify Beneficiaries entitled to a share of ³ 10% of the TrustÕs assets/income along with their ownership percentage(s) (individuals or classes) and complete table 4.,"Instruction: Complete Table 4If unable to identify, escalate to FCC","[Conditional on ""Named"" response to T14.1 ANDConditional on ""Yes"" response to T14.13 ANDConditional on ""Trading / donations / subscriptions"" or ""Holding Trust (linked to a commercial company) "" response to T1.1]OR[Alternatively, IF conditional on ""Named"" response to T14.1 AND conditional on ""Yes"" response to T14.13 AND ""Holding Trust (linked to a PIC/PIV or individual)"" response to T1.1 AND any response other than ""1-20"" in QT14.16a complete this question instead of T14.16] ", 233,Conditionality,,T14.9,11,High/ SCC,Identify Beneficiaries entitled to a share of ³ 10% of the TrustÕs assets/income along with their ownership percentage(s) (individuals or classes) and complete table 4.,"Instruction: Complete Table 4If unable to identify, escalate to FCC","[Conditional on ""Named"" response to T14.1 ANDConditional on ""Yes"" response to T14.13 ANDConditional on ""Trading / donations / subscriptions"" OR ""Holding Foundation (linked to a commercial company) "" response to T1.1]OR[Alternatively, IF conditional on ""Named"" response to T14.1 AND conditional on ""Yes"" response to T14.13 AND ""Holding Foundation (linked to a PIC/PIV or individual)"" response to T1.1 AND any response other than ""1-20"" in QT14.16a] ", 234,Conditionality,,T14.10,11,Standard/ Medium,Identify Beneficiaries entitled to a share of ³ 25% of the TrustÕs assets/income along with their ownership percentage(s) (individuals or classes) and complete table 4.,"Instruction: Complete Table 4If unable to identify, escalate to FCC","[Conditional on ""Named"" response to T14.1 ANDConditional on ""Yes"" response to T14.13 ANDConditional on ""Trading / donations / subscriptions"" or ""Holding Trust (linked to a commercial company) "" response to T1.1]OR[Alternatively, IF conditional on ""Named"" response to T14.1 AND conditional on ""Yes"" response to T14.13 AND ""Holding Trust (linked to a PIC/PIV or individual)"" response to T1.1 AND any response other than ""1-20"" in QT14.16a complete this question instead of T14.16] ", 234,Conditionality,,T14.10,11,Low/ Medium,Identify Beneficiaries entitled to a share of ³ 25% of the TrustÕs assets/income along with their ownership percentage(s) (individuals or classes) and complete table 4.,"Instruction: Complete Table 4If unable to identify, escalate to FCC","[Conditional on ""Named"" response to T14.1 ANDConditional on ""Yes"" response to T14.13 ANDConditional on ""Trading / donations / subscriptions"" OR ""Holding Foundation (linked to a commercial company) "" response to T1.1]OR[Alternatively, IF conditional on ""Named"" response to T14.1 AND conditional on ""Yes"" response to T14.13 AND ""Holding Foundation (linked to a PIC/PIV or individual)"" response to T1.1 AND any response other than ""1-20"" in QT14.16a] ", 235,Conditionality,,T14.17,11,All,Identify all Beneficiaries and complete table 4.,"Instruction: Complete Table 4If unable to identify, escalate to FCC","Conditional on ""Named"" response to T14.1Conditional on ""No"" response to T14.13Conditional on ""Trading / donations / subscriptions"" or ""Holding Trust (linked to a commercial company) "" response to T1.1", 235,Conditionality,,T14.17,11,All,Identify all Beneficiaries and complete table 4.,"Instruction: Complete Table 4If unable to identify, escalate to FCC","Conditional on ""Named"" response to T14.1Conditional on ""No"" response to T14.13Conditional on ""Trading / donations / subscriptions"" or ""Holding Foundation (linked to a commercial company) "" response to T1.1", 236,Conditionality,,T14.14,11,All,Are there any identified Beneficiaries who are minors? ,Drop Down: Yes/ No,"Conditional on ""Holding Trust (linked to a PIC/PIV or individual)"" OR ""Holding Trust (linked to a commercial company) ""response to T1.1", 236,Conditionality,,T14.14,11,All,Are there any identified Beneficiaries who are minors? ,Drop Down: Yes/ No,"Conditional on ""Holding Foundation (linked to a PIC/PIV or individual)"" OR ""Holding Foundation (linked to a commercial company) ""response to T1.1", 237,Q ref,,T14.16.a,11,All,"If the name of the Beneficiaries have changed, document previous names. ",Free Text: Document previous names of Beneficiaries,"Conditional on ""Named"" response to T14.1", 237,Q Ref,,T14.16.b,11,All,"If the name of the Beneficiaries have changed, document previous names. ",Free Text: Document previous names of Beneficiaries,"Conditional on ""Named"" response to T14.1", 238,Conditionality,,9.08b.s,12,All,Has the initial (i.e. existing) SoW been validated? ,"Drop down: Yes/ NoIf ""Yes"" - Link to document repositoryIf ""No"" - complete Table 6 for referral to FCC","Conditional on ""Holding Trust (linked to a PIC/PIV or individual)"" response to T1.1 ", 238,Conditionality,,9.08b.s,12,All,Has the initial (i.e. existing) SoW been validated? ,"Drop down: Yes/ NoIf ""Yes"" - Link to document repositoryIf ""No"" - complete Table 6 for referral to FCC","Conditional on ""Holding Foundation (linked to a PIC/PIV or individual)"" response to T1.1 ", 239,Conditionality,,9.08a.s,12,All,Has the initial (i.e. existing) SoW been validated by use of 3rd party information or verified?,"Drop down: Yes/ NoIf ""Yes"" - Link to document repositoryIf ""No"" - complete Table 6 for referral to FCC","Conditional on ""Holding Trust (linked to a PIC/PIV or individual)"" response to T1.1 ", 239,Conditionality,,9.08a.s,12,All,Has the initial (i.e. existing) SoW been validated by use of 3rd party information or verified?,"Drop down: Yes/ NoIf ""Yes"" - Link to document repositoryIf ""No"" - complete Table 6 for referral to FCC","Conditional on ""Holding Foundation (linked to a PIC/PIV or individual)"" response to T1.1 ", 240,Conditionality,,9.12c.s,12,All,Has the on-going SoW been validated? ,"Drop down: Yes/ NoIf ""Yes"" - Link to document repositoryIf ""No"" - complete Table 6 for referral to FCC","Conditional on ""Holding Trust (linked to a PIC/PIV or individual)"" response to T1.1 ANDConditional on ""Yes"" response to Q9.10a.s ", 240,Conditionality,,9.12c.s,12,All,Has the on-going SoW been validated? ,"Drop down: Yes/ NoIf ""Yes"" - Link to document repositoryIf ""No"" - complete Table 6 for referral to FCC","Conditional on ""Holding Foundation (linked to a PIC/PIV or individual)"" response to T1.1 ANDConditional on ""Yes"" response to Q9.10a.s ", 241,Conditionality,,9.12b.s,12,All,Has the on-going SoW been validated by a 3rd party/ verified if possible?,"Drop down: Yes/ NoIf ""Yes"" - Link to document repositoryIf ""No"" - complete Table 6 for referral to FCC","Conditional on ""Holding Trust (linked to a PIC/PIV or individual)"" response to T1.1 ANDConditional on ""Yes"" response to Q9.10a.s and if ""No"" to Q9.12c.s and only required if validation does not provide sufficient information on the Customer", 241,Conditionality,,9.12b.s,12,All,Has the on-going SoW been validated by a 3rd party/ verified if possible?,"Drop down: Yes/ NoIf ""Yes"" - Link to document repositoryIf ""No"" - complete Table 6 for referral to FCC","Conditional on ""Holding Foundation (linked to a PIC/PIV or individual)"" response to T1.1 ANDConditional on ""Yes"" response to Q9.10a.s and if ""No"" to Q9.12c.s and only required if validation does not provide sufficient information on the Customer", 242,Conditionality,,8.04.s,12,All,How are the initial funds going to be transferred to the account?,"Drop down: Cash transfer / Non-cash fund transferWhere cash transfer identified and this is over the local cash policy threshold, record the following:-ID&V the depositor-Identify SoF","Conditional on ""Holding Trust (linked to a PIC/PIV or individual)"" response to T1.1 ", 242,Conditionality,,8.04.s,12,All,How are the initial funds going to be transferred to the account?,"Drop down: Cash transfer / Non-cash fund transferWhere cash transfer identified and this is over the local cash policy threshold, record the following:-ID&V the depositor-Identify SoF","Conditional on ""Holding Foundation (linked to a PIC/PIV or individual)"" response to T1.1 ", 243,Conditionality,,8.12a.s,12,All,What is the method of transfer?,"Drop down: Wire from previous bank, inward direct debit, Other","Conditional on ""Holding Trust (linked to a PIC/PIV or individual)"" response to T1.1 ANDConditional on ""Non Cash fund transfer"" response to Q8.04.s", 243,Conditionality,,8.12a.s,12,All,What is the method of transfer?,"Drop down: Wire from previous bank, inward direct debit, Other","Conditional on ""Holding Foundation (linked to a PIC/PIV or individual)"" response to T1.1 ANDConditional on ""Non Cash fund transfer"" response to Q8.04.s", 244,Conditionality,,8.a12.s,12,All,Where does the transfer originate from?,"Drop down: Salary payment, financial institution in Customer's name, OtherFree text: Other description","Conditional on ""Holding Trust (linked to a PIC/PIV or individual)"" response to T1.1 ANDConditional on ""Non Cash fund transfer"" response to Q8.04.s", 244,Conditionality,,8.a12.s,12,All,Where does the transfer originate from?,"Drop down: Salary payment, financial institution in Customer's name, OtherFree text: Other description","Conditional on ""Holding Foundation (linked to a PIC/PIV or individual)"" response to T1.1 ANDConditional on ""Non Cash fund transfer"" response to Q8.04.s", 245,Conditionality,,8.b12.s,12,All,Which country(ies) do the funds originate from?,Check box: List of countries,"Conditional on ""Holding Trust (linked to a PIC/PIV or individual)"" response to T1.1 ANDConditional on ""Non Cash fund transfer"" response to Q8.04.s", 245,Conditionality,,8.b12.s,12,All,Which country(ies) do the funds originate from?,Check box: List of countriescomplete table 1a,"Conditional on ""Holding Foundation (linked to a PIC/PIV or individual)"" response to T1.1 ANDConditional on ""Non Cash fund transfer"" response to Q8.04.s", 246,Conditionality,,8.14a.s,12,All,Identify the source of the cash deposit?,"Drop down: Yes / NoIf ""Yes"" - Link to document repositoryIf ""No"" - complete Table 6 for referral to FCC","Conditional on ""Holding Trust (linked to a PIC/PIV or individual)"" response to T1.1 ANDConditional on ""Cash transfer"" response to Q8.04.s and cash deposit above local threshold", 246,Conditionality,,8.14a.s,12,All,Identify the source of the cash deposit?,"Drop down: Yes / NoIf ""Yes"" - Link to document repositoryIf ""No"" - complete Table 6 for referral to FCC","Conditional on ""Holding Foundation (linked to a PIC/PIV or individual)"" response to T1.1 ANDConditional on ""Cash transfer"" response to Q8.04.s and cash deposit above local threshold", 247,Conditionality,,8.14aa.s,12,All,Has the source of the cash deposit been validated?,"Drop down: Yes / NoIf ""Yes"" - Link to document repositoryIf ""No"" - complete Table 6 for referral to FCC","Conditional on ""Holding Trust (linked to a PIC/PIV or individual)"" response to T1.1 ANDConditional on ""Cash transfer"" response to Q8.04.s and cash deposit above local threshold", 247,Conditionality,,8.14aa.s,12,All,Has the source of the cash deposit been validated?,"Drop down: Yes / NoIf ""Yes"" - Link to document repositoryIf ""No"" - complete Table 6 for referral to FCC","Conditional on ""Holding Foundation (linked to a PIC/PIV or individual)"" response to T1.1 ANDConditional on ""Cash transfer"" response to Q8.04.s and cash deposit above local threshold", 248,Conditionality,,8.14b.s,12,All,Confirm that appropriate approval has been obtained in accordance with the LoB cash policy.,"Drop down: Yes / NoIf ""Yes"" - Link to document repositoryIf ""No"" - complete Table 6 for referral to FCC","Conditional on ""Holding Trust (linked to a PIC/PIV or individual)"" response to T1.1 ANDConditional on ""Non Cash fund transfer"" response to Q8.04.s", 248,Conditionality,,8.14b.s,12,All,Confirm that appropriate approval has been obtained in accordance with the LoB cash policy.,"Drop down: Yes / NoIf ""Yes"" - Link to document repositoryIf ""No"" - complete Table 6 for referral to FCC","Conditional on ""Holding Foundation (linked to a PIC/PIV or individual)"" response to T1.1 ANDConditional on ""Cash transfer"" response to Q8.04.s and cash deposit above local threshold", 249,Conditionality,,A14.03,13,All,"Has the full name, position/title, date of birth and permanent residential address of two Key Controllers been verified with the supporting evidence added to table 4.3?","Drop Down: Yes/ NoIf ""No"", complete Table 6 for referral to FCC","Conditional on ""No"" response to Q3e.06d.2 AND ""No"" response to QA3.3 AND ""No"" response to QA3e.02Additional conditionality for Standard/ Medium Risk Customers:Conditional on ""No"" response to QA13.07", 249,Conditionality,,A14.03,13,All,"Has the full name, position/title, date of birth and permanent residential address of two Key Controllers been verified with the supporting evidence added to table 4.3?","Drop Down: Yes/ NoIf ""No"", complete Table 6 for referral to FCC","Response ""Trading / donations / subscriptions"" to T1.1 ", 249,Conditionality,,A14.03,13,All,"Has the full name, position/title, date of birth and permanent residential address of two Key Controllers been verified with the supporting evidence added to table 4.3?","Drop Down: Yes/ NoIf ""No"", complete Table 6 for referral to FCC",, 250,Conditionality,,A4.11,13,All,Confirm that the names of all other directors/ partners who do not retain control over the business (i.e. not Key Controllers) have been captured in table 4.4.,"Drop down: Yes/ NoIf ""No"", complete Table 6 for referral to FCC","Conditional on [""No"" response to Q3e.06d.2 AND ""No"" response to QA3e.02] OR ""Yes"" response to QA3.3", 250,Conditionality,,A4.11,13,All,Confirm that the names of all other directors/ partners who do not retain control over the business (i.e. not Key Controllers) have been captured in table 4.4.,"Drop down: Yes/ No/N/AIf ""No"", complete Table 6 for referral to FCC",, 251,Conditionality,,F13.2,13,All,Are any of the Key Controllers legal entities?,Yes/NoIf Yes complete table 4.3a for two Key Controllers of the Legal Entity,, 251,Conditionality,,F13.2,13,All,Are any of the Key Controllers legal entities?,Yes/NoIf Yes complete table 4.3a for two Key Controllers of the Legal Entity,"Response ""Trading / donations / subscriptions"" to T1.1 ", 252,Conditionality,,A13.3,13,All,Confirm that table 4.3 has been completed for all Key Controllers.,"Drop down: Yes/ NoIf ""No"", complete Table 6 for referral to FCC","Conditional on ""No"" response to Q3e.06d.2 and ""No"" response to QA3.3 AND ""No"" response to QA3e.02", 252,Conditionality,,A13.3,13,All,Confirm that table 4.3 has been completed for all Key Controllers.,"Drop down: Yes/ NoIf ""No"", complete Table 6 for referral to FCC","Response ""Trading / donations / subscriptions"" to T1.1 ", 252,Conditionality,,A13.3,13,All,Confirm that table 4.3 has been completed for all Key Controllers.,"Drop down: Yes/ NoIf ""No"", complete Table 6 for referral to FCC",, 253,Conditionality,,14.05n,13,All,"Has the list of Key Controllers been verified, and the information populated in table 4.3?","Drop Down: Yes/ NoIf ""No"", complete Table 6 for referral to FCC","Conditional on ""No"" response to Q3e.06d.2 and ""No"" response to QA3.3 AND ""No"" response to QA3e.02", 253,Conditionality,,14.05n,13,All,"Has the list of Key Controllers been verified, and the information populated in table 4.3?","Drop Down: Yes/ NoIf ""No"", complete Table 6 for referral to FCC","Response ""Trading / donations / subscriptions"" to T1.1 ", 253,Conditionality,,14.05n,13,All,"Has the list of Key Controllers been verified, and the information populated in table 4.3?","Drop Down: Yes/ NoIf ""No"", complete Table 6 for referral to FCC",, 254,Conditionality,,A13.4,13,All,"For at least two Key Controllers, confirm that the Permanent residential address has been identified and populated in table 4.3.","Drop down: Yes/ NoIf ""No"", complete Table 6 for referral to FCC","Conditional on ""No"" response to Q3e.06d.2 and ""No"" response to QA3.3 AND ""No"" response to QA3e.02", 254,Conditionality,,A13.4,13,All,"For at least two Key Controllers, confirm that the Permanent residential address has been identified and populated in table 4.3.","Drop down: Yes/ NoIf ""No"", complete Table 6 for referral to FCC","Response ""Trading / donations / subscriptions"" to T1.1 ", 254,Conditionality,,A13.4,13,All,"For at least two Key Controllers, confirm that the Permanent residential address has been identified and populated in table 4.3.","Drop down: Yes/ NoIf ""No"", complete Table 6 for referral to FCC",, 255,Conditionality,,A19.01,24,All,Was the address visited the same as the address documented as the Customer's Principal business address?,Drop down: Yes / No,"Conditional on ""Yes"" response to Q24.02", 255,Conditionality,,A19.01,24,All,Was the address visited the same as the address documented as the Customer's Principal business address?,Drop down: Yes / No,"Conditional on ""Yes"" response to Q24.01and ""Trust"" response to QT24.01", 256,Q ref,,14.05n,10a,All,"Has the list of Key Controllers been verified, and the information populated in table 4.3a?","Drop Down: Yes/ NoIf ""No"", complete Table 6 for referral to FCC","Response ""Trading / donations / subscriptions"" to T1.1 ", 256,Q ref,,14.05n.s,10a,All,"Has the list of Key Controllers been verified, and the information populated in table 4.3a?",Drop Down: Yes/ No,"Conditional on ""Yes"" response to T11.1 ", 257,Conditionality,,A8.13.s,8,All,What is the approximate amount to be transferred into the HSBC accounts?,"Free text: amount to be transferred, N/A option available","Conditional on ""Holding Trust (linked to a commercial business) "" response to T1.1", 257,Conditionality,,A8.13.s,8,All,What is the approximate amount to be transferred into the HSBC accounts?,"Free text: amount to be transferred, N/A option available","Conditional on ""Holding Foundation (linked to a commercial business) "" response to T1.1", 258,Conditionality,,A8.14.s,12a,All,What is the source of these funds?What is the Source of the funds being transferred?,"Drop Down:Intra group financing Business income (accumulated profit / retained earnings)Transfer from other HSBC accountBusiness loanInvestment by UBO/ Partner Sale of propertyExternal InvestmentOther Free Text: Description of ""Other"" response","Conditional on any response other than N/A to QA8.13.sANDConditional on ""Holding Trust (linked to a commercial business) "" response to T1.1", 258,Conditionality,,A8.14.s,12a,All,What is the source of these funds?What is the Source of the funds being transferred?,"Drop Down: Multiple Field Selection: Intra group financing Business income (accumulated profit / retained earnings)Transfer from other HSBC accountBusiness loanInvestment by UBO/ Partner Sale of propertyExternal InvestmentOther Free Text: Description of ""Other"" response","Conditional on any response other than N/A to QA8.13.sANDConditional on ""Holding Foundation (linked to a commercial business) "" response to T1.1", 259,Conditionality,,A8.18b.s,8,All,Do any of the answers given within this section require escalation to FCC?,"Drop down: Yes / NoIf ""Yes"" complete Table 6 for referral to FCC","Conditional on ""Holding Trust (linked to a commercial business) "" response to T1.1", 259,Conditionality,,A8.18b.s,8,All,Do any of the answers given within this section require escalation to FCC?,"Drop down: Yes / NoIf ""Yes"" complete Table 6 for referral to FCC","Conditional on ""Holding Foundation (linked to a commercial business) "" response to T1.1", 260,Conditionality,,A13.06,13a,Low/ Medium,Has the Full Name and DoB of all Direct Appointees been captured in table 9.3?,Drop down: Yes/ No,"Question to be answered only when directed by FCCConditional on [""No"" response to Q3e.06d.2 AND ""No"" response to QA3.3 AND ""No"" response to QA3e.02]AND""Yes"" response to QA13.15", 260,Conditionality,,A13.06,13a,Low/ Medium,Has the Full Name and DoB of all Direct Appointees been captured in table 9.3?,Drop down: Yes/ No,"Conditional on response ""Yes"" to A13.15", 261,Q Ref,,33.1a,33a,All,Have these questions relating to Sensitive Sanctioned Countries been answered (at the parent level) on behalf of the Group? ,Drop down: Yes / No,, 261,Q Ref,,33.1a,6,All,"Have these questions been answered (at the parent level) on behalf of the Group, including this Legal Entity? ",Drop down: Yes / No,, 261,Conditionality,,A13.02,13a,High/ SCC,"Has the Full Name, DoB and Permanent Residential Address of all Direct Appointees been captured in table 9.3?",Drop down: Yes/ No,"Question to be answered only when directed by FCCConditional on [""No"" response to Q3e.06d.2 AND ""No"" response to QA3.3 AND ""No"" response to QA3e.02]AND""Yes"" response to QA13.15", 261,Conditionality,,A13.02,13a,High/ SCC,"Has the Full Name, DoB and Permanent Residential Address of all Direct Appointees been captured in table 9.3?",Drop down: Yes/ No,"Conditional on response ""Yes"" to A13.15", 262,Conditionality,,A14.01,13a,High/ SCC,"Have all Direct Appointees been verified, and the information populated in tables 9.2 and 9.3?",Drop down: Yes / No,"Question to be answered only when directed by FCCConditional on [""No"" response to Q3e.06d.2 AND ""No"" response to QA3e.02]AND""Yes"" response to QA13.15", 262,Conditionality,,A14.01,13a,High/ SCC,"Have all Direct Appointees been verified, and the information populated in tables 9.2 and 9.3?",Drop down: Yes / No,"Conditional on response ""Yes"" to A13.15", 263,Conditionality,,33.3b,33a,All,Provide a detailed description of the nature of operations in this country/countries,Free text: Description of nature of operations,"Conditional on ""Operates in a sensitive country"" response to Q33.3", 263,Conditionality,,33.3b,33a,All,Provide a detailed description of the nature of operations in this country/countries,Free text: Description of nature of operations,"Conditional on ""Trading / donations / subscriptions"" OR ""Holding Trust (linked to a commercial business) "" response to T1.1 ANDConditional on ""Operates in a sensitive country"" response to Q33.3", 263,Conditionality,,33.3b,33a,All,Provide a detailed description of the nature of operations in this country/countries,Free text: Description of nature of operations,"Conditional on ""Trading / donations / subscriptions"" OR ""Holding Foundation (linked to a commercial business) "" response to T1.1 ANDConditional on ""Operates in a sensitive country"" response to Q33.3", 263,Conditionality,,NBFI 33.3b,33a,All,Provide a detailed description of the nature of operations in this country/countries,Free text: Description of nature of operations,"Conditional on ""Operates in a sensitive country"" response to NBFI 33.3", 264,Conditionality,,a33b.12,33b,All,"Where the Customer is an entity within a Mastergroup that has exposure to TI CPI ² 22 Countries, clarify the CustomerÕs role within the group and the groupÕs overall relationship with such jurisdictions.","Free text: Description of business plan with respect to Sensitive Sanctioned Countries, including timings. ","Conditional on ""Yes"" response to Qa33b.05", 264,Conditionality,,a33b.12,33b,All,"Where the Customer is an entity within a Mastergroup that has exposure to TI CPI ² 22 Countries, clarify the CustomerÕs role within the group and the groupÕs overall relationship with such jurisdictions.","Free text: Description of business plan with respect to Sensitive Sanctioned Countries, including timings. ","Conditional on ""Trading / donations / subscriptions"" OR ""Holding Trust (linked to a commercial business) "" response to T1.1 ANDConditional on ""Yes"" response to Qa33b.05", 265,Combination,,a33.23,33b,All,Provide any other relevant information on exposure to this country.,Free text: Description of any other relevant information,"Conditional on ""Yes"" response to Qa33b.05", 265,Combination,,33.23,33b,All,Provide any other relevant information on exposure to this country.,Free text: Description of any other relevant information,"Conditional on ""Trading / donations / subscriptions"" OR ""Holding Trust (linked to a commercial business) "" response to T1.1 ANDConditional on ""Yes"" response to Q33.1", 266,Conditionality,,A3.2,3a,All,Document the country/ countries of business focus if a majority high risk country can be identified.,"Drop down: list of Countries, N/A option available","Conditional on ""Yes"" response to QA3.1", 266,Conditionality,,A3.2,3a,All,Document the country/ countries of business focus if a majority high risk country can be identified.,"Drop down: list of Countries, N/A option available","Conditional on ""Trading / donations / subscriptions"" response T1.1Conditional on ""Yes"" response to QA3.1", 266,Conditionality,,A3.2,3a,All,Document the country/ countries of business focus if a majority high risk country can be identified.,"Drop down: list of Countries, N/A option available","Conditional on ""Yes"" response to QC3a.1 OR QC3a.1a OR QC3a.1b", 267,Conditionality,,T3.1,3a,All,What is (are) the country (ies) where the majority of the Customer's funds will come from?,Multiple may be chosen:Drop down: list of Countries,"Conditional on ""Holding Trust (linked to a Commercial Business)"" or ""Holding Trust (linked to a PIC or individual)"" response T1.1", 267,Conditionality,,T3.1,3a,All,What is (are) the country (ies) where the majority of the Customer's funds will come from?,Autopopulate from response to questions on initial and ongoing funds. Complete Table 1a,"Conditional on ""Holding Foundation (linked to a Commercial Business)"" or ""Holding Foundation (linked to a PIC or individual)"" response T1.1", 268,Conditionality,,T3.2,3a,All,What is (are) the country (ies) where the majority of funds out of the Trust will be sent?,Multiple may be chosen:Check box: list of CountriesN/A - where do not know where the funds will be distributed. ,, 268,Conditionality,,T3.2,3a,All,What is (are) the country (ies) where the majority of funds out of the Trust will be sent?,Multiple may be chosen:Check box: list of CountriesN/A - where do not know where the funds will be distributed. Autopopulate table 1a,"Conditional on ""Holding Foundation (linked to a Commercial Business)"" or ""Holding Foundation (linked to a PIC or individual)"" response T1.1", 269,Conditionality,,1.09,3d,All,What is the Customer's standard industry classification code?,Check Box: list of standard industry classification codes and descriptions Multiple selection available,, 269,Conditionality,,1.09,3d,All,What is the Customer's standard industry classification code?,Check Box: list of standard industry classification codes and descriptions Multiple selection available,"Conditional on ""Trading / donations / subscriptions"" response T1.1", 270,Conditionality,,3d.02,3d,All,Is the Customer involved in one of the following high risk business types?,"Drop down: FCC-RAM High Risk Business Types, ""Customer does not operate in a High risk business"" option available",, 270,Conditionality,,3d.02,3d,All,Is the Customer involved in one of the following high risk business types?,"Drop down: FCC-RAM High Risk Business Types, ""Customer does not operate in a High risk business"" option available","Conditional on ""Trading / donations / subscriptions"" response T1.1", 271,Conditionality,,A3.3,3e,All,Is the Customer or Mastergroup classified as Wholesale?,Autopopulate Drop Down: Yes/ No,"Conditional on ""No"" response to Q3e.06d.2Conditional on ""No"" response to Q3e.06d.2 AND conditional on ""Yes"" responses to QA3e.06, A3e.07 and A3e.08.", 271,Conditionality,,A3.3,3e,All,Is the Customer or Mastergroup classified as Wholesale?,Autopopulate: Yes/ No,"Conditional on ""No"" response to Q3e.06d.2 AND ""No"" A3e.02Conditional on ""No"" response to Q3e.06d.2 AND conditional on ""Yes"" responses to QA3e.06, A3e.07 and A3e.08.", 272,Conditionality,,3d.06.2,3e,All,"Provide the link to the evidence of regulation. If this capability is not available, manually input the data.",Link to document repository,"Conditional on ""Yes"" response to T1.11", 272,Conditionality,,3d.06.2,3e,All,"Provide the link to the evidence of regulation. If this capability is not available, manually input the data.",Link to document repository,"Conditional on ""Yes"" response to Q3e.06", 273,Conditionality,,A3d.06.2,3e,All,"For regulated entities, what is their regulatory reference number?",Free text: Regulatory reference number,"Conditional on ""Yes"" response to T1.11", 273,Conditionality,,A3d.06.2,3e,All,"For regulated entities, what is their regulatory reference number?",Free text: Regulatory reference number,"Conditional on ""Yes"" response to Q3e.06", 274,Qr,,MSB 9,23,All,"How does the Customer obtain assurance that their AML policy, procedures and controls are operating effectively? ",Free Text,"Conditional on ""No"" response to either MSB 6.6, MSB 6.7 or MSB 6.8", 274,Q Ref,,NBFI 2.24,23,All,"How does the Customer obtain assurance that their AML policy, procedures and controls are operating effectively? ",Free Text,"Conditional on ""No"" response to either NBFI 2.14 OR NBFI 2.15", 275,Q ref,,3,1,All,Is the Instructing Party regulated? ,Drop- down: Yes /No ,, 275,Q ref,,3,8,All,Document the rationale for the use of the structure,Free text,Conditional on 'Personal Investment Company (PIC)' OR 'Personal Investment Fund (PIF)' response to Q1, 276,Q ref,,4,1,All,Confirm that a CDD profile has been completed for the Instructing Party ,Drop-down: Yes/NoInstruction: Complete CDD profile populated for the Instructing PartyLink to Instructing Party's profile,"Conditional on ""Executing Broker"" response ONLY to Q2 AND (""Yes"" response to Q3.b OR ""Yes"" response to Q3.c)", 276,Q ref,,4,8,All,Does the structure appear to have a genuine and legitimate purpose? ,"Drop-down: Yes, NoIf 'No', complete Table 6 to refer to FCCIf 'Yes', provide details of the purpose of the structure",Conditional on 'Personal Investment Company (PIC)' OR 'Personal Investment Fund (PIF)' response to Q1, 277,Combination,,5,1,All,Is reliance being placed on the Party mandated to issue instructions on behalf of the Fund? ,Drop-down: Yes/No,"Conditional on (""Yes"" response to Q3.b OR ""Yes"" response to Q3.c) AND response other than ""Executing Broker"" ONLY to Q2", 277,Combination,,5,9,All,"Are there multiple layers of nominee directors, shareholders or other connected parties? ","Drop-down: Yes, No",Conditional on 'Personal Investment Company (PIC)' OR 'Personal Investment Fund (PIF)' response to Q1, 278,Combination,,8,10,All,Confirm that the verification section in Table(s) 2.1f and/or 2.1g (as appropriate) have been completed for all Beneficial Owners required.,Drop down: Yes / No[Complete verification section(s) of Table 2.1f for Entities and table 2.1g for Individuals],Conditional on 'Personal Investment Company (PIC)' OR 'Personal Investment Fund (PIF)' response to Q1, 278,Combination,,8,1,All,"Confirm that CDD profiles have been completed for the Instructing Party, Fund, and the party on whom reliance is being placed for due diligence on the Fund (if not the Instructing Party)","Drop-down: Yes/NoInstruction: Complete CDD profile populated for the Instructing Party, Fund and the party on whom reliance is placed (if not the Instructing Party)Link to the profile(s)","Conditional on ""Yes"" response to Q3.b OR Q3.c AND Q6 AND Q6.c OR Q6.d AND Q7a.1 OR Q7b]", 280,Combination,,9,1,All,Confirm that CDD profiles have been completed for the Instructing Party and Fund,Drop-down: Yes/NoInstruction: Complete CDD profile populated for the Instructing Party and the Fund Link to the profile of the Instructing Party,"Conditional on ""Yes"" response to Q3.b AND Q3.c AND Q6 AND Q6.c AND Q6.d AND Q7a.1 AND Q7b]", 280,Combination,,9,13,All,"Has the list of Key Controllers been verified, and the information populated in table 4.4?",Drop Down: Yes/ No[Complete verification of the list and populate Table 4.4],Conditional on 'Personal Investment Company (PIC)' OR 'Personal Investment Fund (PIF)' response to Q1, 281,Combination,,9.18,9,,State the Country(ies) in which the Customer attained their initial and on-going Source of Wealth.,Drop down: List of all countries(Multi select),, 281,Combination,,9.18,9,All,State the Country(ies) in which the Customer attained their initial and on-going Source of Wealth.,Check Box: List of countries,"Conditional on ""No"" response to A28.05 OR ""Yes - GPB"" response to A28.03", 282,Combination,,10,1,All,"Where the Fund has an internal management structure, is the Instructing Party of the Fund the Fund Investment Manager or Controller?",Drop-down: Yes/No,, 282,Combination,,10,13,All,Confirm that Table 4.4 has been completed for all Key Controllers.,Drop down: Yes/ No[Complete Table 4.4 for all Key Controllers],Conditional on 'Personal Investment Company (PIC)' OR 'Personal Investment Fund (PIF)' response to Q1, 283,Combination,,10.17,10,All,"Has a ""high risk"" NPO, with a majority ownership (greater than 50%), been identified as a Beneficial Owner in the ownership structure?","Drop down: Yes / NoIf ""Yes"", complete Table 6 for referral to FCC",, 283,Combination,,10.17,11,All,"Has a ""high risk"" Charity, NPO, with a majority ownership (greater than 50%), been identified as a Beneficiary or Contributor in the ownership structure?","Drop down: Yes / NoInstruction: Complete Table 2.1aIf ""Yes"", complete Table 6 for referral to FCC",, 284,Combination,,11,1,All,Record the government identification number of the Pension Fund.,Free text/ N/A,"Conditional on ""Pension Fund"" response to Q1", 284,Combination,,11,13,All,"Has the full name, position/title, date of birth and permanent residential address of all Key Controllers required been verified with the supporting evidence added to table 4.4?",Drop down: Yes/ No[Complete verification section of Table 4.4],Conditional on 'Personal Investment Company (PIC)' OR 'Personal Investment Fund (PIF)' response to Q1, 285,Combination,,11.02,10,High/ SCC,"Confirm that the verification section in tables 2.1a, 2.1c and/ or 2.1e have been completed for the Ultimate Beneficial Owners/ Partners identified in section 10.","Drop down: Yes / NoIf ""No"" complete Table 6 for referral to FCC","Conditional on ""Yes"" response to QA3.3 OR ""Yes"" response to QA3e.02", 285,Combination,,11.02,11,All,Have the identified Beneficiaries been verified? Complete the verification section in Table 4.,"Drop Down: Yes/ NoIf ""No"", complete Table 6 for referral to FCC","Conditional on ""Named"" response to T14.1", 287,Wording,,10.17a,10,All,"Has a ""high risk"" Government or State-owned Body (GSB), with a majority ownership (greater than 50%), been identified as a Beneficial Owner in the ownership structure?","Drop down: Yes / NoIf ""Yes"", complete Table 6 for referral to FCC",, 287,Wording,,10.17a,11,All,"Has a ""high risk"" Government State-owned Body (GSB), with a majority ownership (greater than 50%), been identified as a Beneficiary or Contributor in the ownership structure?","Drop down: Yes / NoInstruction: Complete Table 2.1aIf ""Yes"", complete Table 6 for referral to FCC",, 300,New Screening,,Screen-1,6,All,Confirm that screening has taken place.,Check box,, 300,New Screening,,Screen-2,6,All,Select the link to the screening search.,Link,, 300,New Screening,,Screen-3,6,All,"If the above link is not available, please manually input the data.",Free Text,, 300,New Screening,,Screen-4,6,All,"Provide any details of screening hits, where applicable.",Free Text,, 300,New Screening,,Screen-5,6,All,Confirm that all screening hits have been resolved.,Check box,, 300,New Screening,,Screen-6,6,All,Select the link to clearances.,Link,, ,,,1.02,1,,Does the Customer have any previous names?,Free text: Previous names,, ,,,1.09,13,,What is the name of the referring party?,Free text,"Conditional on ""Referral"" response to Q1.06", ,,,4.06,1,All,Is the Customer a shell bank?,Drop down: Yes / No,, ,,,1.14,1,All,What is the HSBC legal entity?,Drop down: list of HSBC entities,, ,,,1.15,1,All,What is the Line of Business segment?,Drop down:GBM CSG GBM REGGBM FIGGBM FSGGBM Corporate MultinationalsCMB Large CorporateCMB MMECMB BB UpperCMB BB MassGPB IPCGPB UHNWGPB HNWGPB PWS,, ,,,1.15,1,,Has a prospect record in Global CRM been created?,"Drop down: Yes/ NoIf ""No"", provide rationale",, ,,,4.06b,1,All,Please raise a HRR,,"Conditional on ""Yes"" response to Q4.06", ,,,2,8,All,Confirm that the constitution document (or other acceptable document) for the structure has been obtained,"Drop-down: Yes, NoIf 'Yes', link to document repositoryIf 'No', complete Table 6 to refer to FCC",Conditional on 'Personal Investment Company (PIC)' OR 'Personal Investment Fund (PIF)' response to Q1, ,,,2.04,2,,Provide the rationale for theSCC designation. ,,"Conditional on ""SCC"" response to Q2.02", ,,,4.01,4,,What is the title of the Customer?,"Drop down: Mr, Mrs, Ms, Miss, Dr., Professor, OtherIf ""Other""; free Text: Description of ""Other"" response",, ,,,4.02,4,,What is the Customer's gender?,"Drop down: Male, Female",, ,,,4.05,4,,What is the Customer's Country of birth?,Drop down: List of all Countries,, ,,,4.09,4,,What is the Customer's residential address?,Address (standard HSBC format) ,, ,,,5.01,1,,Is this a face-to-face or non face-to-face account opening?,"Drop down : Face-To-Face, Non-Face-To-FaceAutomated if this is an internet application",, ,,,7.01,7,,What is the relationship between the Connected Party(ies) and the Customer?,"Drop down: Guardian/Parent, Contributor to Source of Wealth, Testator/Testatrix, Additional card holder/credit card holder, Executor/Administrator, Investment Advisor/Asset Manager, Third parties given access to Safe Deposit Box, Subscriber, Third party Authority, Subscriber, Other(Multi select)","Conditional on ""Yes"" response to Q10.02", ,,,13.02,12,,Is a Customer visit required?,"Drop down:- Yes: On-boarding visitation- Yes: Recurring visitation - Yes: Visit at the instruction of Business Risk/FCC - Yes: Visitation following Customer identified as high risk / SCC within last 12 months*- No: A visit or contact is not required Auto populated where the response to Q2.02 is ""High Risk"" or ""SCC"" AND the response to Q1.04 is NOT ""New Customer on-boarding"" or ""Reopening of a Business Relationship"". Note: Applies to GPB Customers only",, ,,,13.02,13,All,Confirm that table 4.2 has been completed for all Key Controllers.,"Drop down: Yes/ NoIf ""No"", complete Table 6 for referral to FCC","Conditional on ""Yes"" response to QA3.3 AND ""No"" response to QA3e.02", ,,,14.02,13,High/ SCC,"Has the full name, position/title and one of: date of birth OR permanent residential address of two Key Controllers been verified with the supporting evidence added to table 4.2?","Drop Down: Yes/ NoIf ""No"", complete Table 6 for referral to FCC","Conditional on ""No"" response to QA3e.02 AND ""Yes"" response to QA3.3", ,,,14.02,14,,Provide details of the policy exceptions. Attach relevant exception documents.,"Auto populate from any answers which indicate policy exceptions within the workflow, including those in Table 3.Free Text: Other exceptionsRetain documents on file",, ,,,24.01,24,All,Is an AML site visit required?,"Drop down: ""Yes""""No - Entity is covered by an existing Fraud Certificate""""No - home based business""""No - Customer is Non-Relationship Managed""""No - reliance can be placed on the visit to the Parent Company""""No - reliance can be placed on the visit to the non-Parent entity of the Customer""",, ,,,24.01,5,PCM & [COPO=HR],"System message: ""EDD visit is required""",,, ,,,33.1,6,All,"Does the Customer or any members of their group legal entity structures (including branches, subsidiaries, affiliates and joint ventures) do business in Sensitive Sanctioned Countries?",Drop down: Yes / No,, ,,,33.13,6,All,Describe the control procedures that the Customer has in place to monitor transactions with Sensitive Sanctioned Countries and ensure they remain compliant with sanctions regulations,Free text: Description of controls,"Conditional on ""Yes"" response to Q33.1", ,,,33.14,6,All,What is the Customers approach to future business development in Sensitive Sanctioned Countries and the anticipated timing of such actions?,"Free text: Description of business plan with respect to Sensitive Sanctioned Countries, including timings. ","Conditional on ""Yes"" response to Q33.1", ,,,33.15,6,All,Describe the control procedures in place around the flow of funds between a branch in a Sensitive Sanctioned Countries and its parent entity,Free text: Description of controls,"Conditional on ""Yes"" response to Q33.1", ,,,33.23,6,All,Any other relevant information,Free text: Description of any other relevant information,"Conditional on ""Yes"" response to Q33.1", ,,,1.10,1,,On what date did the Customer relationship begin?,Auto populated by system for New Customers and where available for Existing Customers,, ,,,1.20,13,,Has the Walk-In Customer provided a letter of recommendation from a well-known financial institution of good standing or a letter of recommendation from a person of good standing well-known to senior management?,"Drop down: Yes/ NoIf ""No"", Customer is not permittedRetain on file if ""Yes""?","Conditional on ""Walk-in-Customer"" response to Q1.06 OR ""No"" response to 1.09aa", ,,,10.23n,10,High/ SCC,Confirm that the Beneficial Owners table has been completed with the requested information for each Beneficial Owner/ Partner (including Intermediate Owners) that owns 10% or more of the ordinary share capital or 10% or more Partnership interest of the Customer. ,Drop Down: Yes/ No/ Threshold not reached[Complete Table 2.1a for Intermediate Owners and tables 2.1c and 2.1e for UBOs],"Conditional on ""Yes"" response to Q3e.06d.2 OR ""Yes"" response to QA3.3 OR ""Yes"" response to QA3e.02", ,,,11.a10,11,,Will the Customer be Premier Top Tier in more than one country? ,Drop down: Yes/NoAutopopulate countries from response to Q16.02,"Conditional on ""RBWM"" response to Q1.05Conditional on ""Yes"" to 11.a6", ,,,33.1b,6,All,Has the Customer confirmed in writing that they will not utilise any accounts with HSBC to facilitate payments to any person or entity listed on a sanctions list or is located in a sanctioned country that may cause a breach of any sanctions laws by the group?,Drop down: Yes / NoLink to document repository,"Conditional on ""Yes"" response to Q33.1", ,,,33.23b,6,All,"Confirm that the Customer has been raised for referral to the Reputational Risk Committee, and attach any dispensation provided by the RRC.",Drop down: Yes/NoLink to document repository,"Conditional on ""Yes"" response to Q33.1", ,,,33.2b,6,All,"Confirm that the ""Sensitive Country Detail"" tab has been populated with details of the relationships between the relevant legal entities and each of the Sensitive Sanctioned Countries that they deal with",Drop Down: Yes/ No,"Conditional on ""Yes"" response to Q33.1", ,,,3a.01,3a,,What is the Customer's nationality/citizenship? ,"Auto populated from response to Q4.06Note: if more than one nationality/citizenship is selected, the nationality/citizenship with the highest risk rating will be populated here ",, ,,,3a.02,3a,,What is the Customer's country of permanent residence? ,Auto populated from response to Q4.09,, ,,,3b.02,3b,,What is the Customer's role?,"Drop down if employed: Principal Controller, Beneficial Owner, Beneficial Owner & Principal Controller, Employee.Drop down if self-employed: Sole Trader, Principal Controller, Beneficial Owner, Beneficial Owner & Principal Controller.","Conditional on response to Q3b.01 being ""Employed Full Time"", ""Employed Part Time"", ""Self Employed""", ,,,3c.01,3b,All,Is the Customer/ Partner (include all Partners) listed on any stock exchanges?,Drop down: Yes / No,, ,,,5.01a,4,,Has the Customer's Identity been verified through the use of Electronic or Documentary sources?,"Drop down: Electronic source(s), Documentary source(s)(Multi select)",, ,,,A11.4,12,High/ SCC,Confirm table 2.1d has been completed for all identified UBOs.,"Drop down: Yes/ NoIf ""No"", complete Table 6 for referral to FCC","Conditional on ""New Customer Onboarding"" or ""Remediation"" or ""First Periodic Review following GS deployment"" response from Q1.06b", ,,,A11.4,12,All,Confirm table 2.1d has been completed for all identified UBOs.,"Drop down: Yes/ NoIf ""No"", complete Table 6 for referral to FCC","Conditional on ""New Customer Onboarding"" or ""Remediation"" or ""First Periodic Review following GS deployment"" response from Q1.06b", ,,,A13.15,13,All,Have more than three Key Controllers been identified (excluding immediate family members)?,"Drop down: Yes/ NoIf ""Yes"", complete Table 6 for referral to FCC","Conditional on ""Complex"" response to QA1.13", ,,,A13.15,13a,All,Has FCC directed that names of Direct Appointees should be captured?,Drop down: Yes/ No,, ,,,A33.01,6,All,Confirm that the case has been referred to FCC Sanctions.,Drop Down: Yes/ No,"Conditional on ""Yes"" response to Q33.1", ,,,A8.27,8,All,Is the Customer a Commercial Operating Business or a Holding Company?,"Drop Down: Commercial Operating Business, Holding Company",, ,,,A8.27,8,All,Provide the justification for the Customer operating as a Sole Trader.,Free Text: Justification for Sole Trader legal entity status,"Conditional on ""Complex"" response to QA1.13", ,,,A8.3,8,All,Confirm that table 1.2 has been completed capturing Countries where the Customer generates funding greater than 10% of annual donations. ,Drop down: Yes/ No/ Threshold Not reached,"Conditional on a response other than ""Trade Union"" response to QC8.1", ,,,G2,1,All,"Is the profile of the Guarantor being completed or updated for the on-boarding or renewal of the structure, or because the guarantee of an existing structure has been called upon?",Drop-down: Onboarding/Renewal OR Notification that the the guarantee has been called upon ,, ,,,G4,1,All,Is the Guarantor an existing Customer? ,"Drop-down: Yes/NoIf ""Yes"", record unique identifying number of the Guarantor. No further action is required (Guarantor is covered by a separate CDD Profile)","Conditional on ""Onboarding/Renewal"" response to GQ1", ,,,Gaming Operations 1.14,1,All,Does the Customer have investments in Gaming Operators? ,"Drop down: Yes / No If ""No"" response, contact local FCC team. ","Conditional on either ""Yes - Indirect"" or ""Yes - Both Direct & Indirect"" response to Corp & Part 8.07 or Sole Traders 8.07; ANDConditional on ""Holding Company"" response to Corp & Part A8.27 ", ,,,MSB 2.7a,2a,All,What products/services are associated with the main countries served? ,Complete Table MSB 1.1 for each of the identified Countries in MSB 2.7.,"Conditional on either ""Standalone MSB"" or ""Principal MSB with Agents"" response to MSB 2.4 or a ""Yes"" response to MSB 2.4e OR MSB 2.4d", ,,,MSB 2.7Ta,2b,All,What payment services are associated with the main countries served? ,Complete Table MSB 1.1 for each of the identified Countries in MSB 2.7T.,"Conditional on ""Third Party Payment Processor"" response to MSB 2.4", ,Q ref,,T12.1.a,14,All,Does the number of Council Members appear disproportionate to that encountered in similar Foundation types? ,"Drop down ""Yes""/ ""No""If ""Yes"", complete Table 6 for referral to FCC",, ,,,1.06,1,,Is the Customer a Walk-In-Customer or Referral?,"Drop down: ""Walk-in-Customer"", ""Referral""",, ,,,1.07,1,,How was the Customer referred to HSBC?,"Drop down: ""Another HSBC Private Bank or Group Entity(ies)""""An authorised Third Party""""An existing Customer"" ""An HSBC RM""""Other""If ""Other"": Free Text: Description of ""Other"" response","Conditional on ""Referral"" response to Q1.06", ,,,1.08,13,,Confirm that Table 5 has been populated ,"Drop down: Yes/ NoIf ""No"" response, complete Table 5","Conditional on ""An authorised Third Party"" response to Q1.07", ,,,1.11,1,All,What is the name of the Customer's Ultimate Parent? (Nominate one lead parent if a Joint Venture),Free text: Parent Name,"Conditional on ""Subsidiary"", ""Branch"", ""Joint Venture"" or ""Other"" response to Q1.10", ,,,1.12,1,All,Document the Parent's unique profile number.,Free text: Profile number/ Unique identifier.,"Conditional on ""Yes"" response to Question 1.11b", ,,,1.16,13,,Has a group introduction certificate been received?,"Drop down: Yes/ NoIf ""Yes"", retain group introduction certificate (or local equivalent)If ""No"", provide rationale","Conditional on ""Referral"" response to Q1.06 and ""Another HSBC Private Bank or Group Entity(ies)""response to Q1.07", ,,,1.18,15,,Should the Customer continue to be on-boarded? ,"Drop down: Yes/ NoIf ""Yes""; Free text: Summarise the rationale for on-boarding the Customer, considering business risk appetite, the issues and risks identified and/or any Global Policy Exceptions together with the CDD Information received. If ""No"", Stop the application process ",, ,,,6.04,2,All,Has proof of licensed status been obtained?,Drop down: Yes / No,, ,,,2.14,4,All,Is the Customer capable of issuing bearer shares?,"Drop down: ""Yes but no bearer shares have been issued"", ""Yes and bearer shares have been issued"", ""No""","Conditional on a ""No"" response to QA4.03 AND a ""No"" response to QA4.12", ,,,6.07b,2,All,Explain why proof of licensed status could not be obtained,Free text,"Conditional on ""No"" response to 6.04", ,,,6.02,2,All,Are there any identified restrictions on the license?,Drop down: Yes / No,"Conditional on ""Yes"" response to Q6.04", ,,,6.03,2,All,Provide detail of specific restrictions,Free text,"Conditional on ""Yes"" response to Q6.02.", ,,,6.05,2,All,Does the Customer operate under an offshore banking license?,Drop down: Yes / No,"Conditional on ""Yes"" response to Q6.04", ,,,6.05b,2,All,Does the customer operate solely under this offshore banking license?,Drop down: Yes / No,"Conditional on ""Yes"" response to Q6.05", ,,,10.23n,3,High/ SCC,Confirm that the Beneficial Owners table has been completed with the requested information for each Beneficial Owner/ Partner (including Intermediate Owners) that owns 10% or more of the ordinary share capital of the Customer. ,Drop down: Yes/ No[Complete Table 2.1a for Intermediate Owners and table 2.1b for UBOs],"Conditional on ""Yes"" response to Q3e.06d.2 OR ""Yes"" response to QA3.3 OR ""Yes"" response to QA3e.02 AND ""No"" response to Q6.05b", ,,,10.23n,3,High/ SCC,Confirm that the Beneficial Owners table has been completed with the requested information for each Beneficial Owner/ Partner (including Intermediate Owners) that owns 10% or more of the ordinary share capital of the Customer. ,Drop down: Yes/ No[Complete Table 2.1a for Intermediate Owners and table 2.1b for UBOs],"Conditional on ""No"" response to Q3e.06d.2 AND ""No"" response to QA3.3 AND ""No"" response to QA3e.02 AND ""No"" response to Q6.05b", ,,,unkown,3,High/ SCC,Confirm that the Beneficial Owners table has been completed with the requested information for each Beneficial Owner/ Partner (including Intermediate Owners) that owns 5% or more of the ordinary share capital of the Customer. ,Drop down: Yes/ No[Complete Table 2.1a for Intermediate Owners and table 2.1b for UBOs],"Conditional on ""No"" response to Q3e.06d.2 AND ""No"" response to QA3.3 AND ""No"" response to QA3e.02 OR ""Yes"" response to Q6.05b", ,,,unkown,3,High/ SCC,Confirm that the Beneficial Owners table has been completed with the requested information for each Beneficial Owner/ Partner (including Intermediate Owners) that owns 5% or more of the ordinary share capital of the Customer. ,Drop down: Yes/ No[Complete Table 2.1a for Intermediate Owners and table 2.1b for UBOs],"Conditional on ""Yes"" response to Q3e.06d.2 OR ""Yes"" response to QA3.3 OR ""Yes"" response to QA3e.02 OR ""Yes"" response to Q6.05b", ,,,33.04b,3,High/ SCC,Confirm that all trustees and beneficiaries (above 10%) have been identified and populated in the Trust table,Drop down: Yes / No (See Table 3),"Conditional on ""Yes"" response to Q10.18 AND (""Yes"" response to Q3c.01 AND ""No"" response to Q6.05b)", ,,,33.04c,3,High/ SCC,Confirm that all trustees and beneficiaries (above 5%) have been identified and populated in the Trust table,Drop down: Yes / No (See Table 3),"Conditional on ""Yes"" response to Q10.18 AND (""No"" response to Q3c.01 OR ""Yes"" response to Q6.05b)", ,,,4.04,4,,What is the Customer's date of birth?,Date box: dd/mm/yyyy,, ,,,4.06,4,,What nationality(ies)/citizenship(s) does the Customer hold?,"Drop down: List of all countries(Multi select)If a national/ citizen of a Sensitive Sanctioned country is identified, escalate to FCC (complete Table 3).Note: Change may be required at a later date to separate this question into two 1) Cusrtomer's nationality; 2) Do you have any other nationalities [Yes/No] - if customer answers ""Yes"", then 2 further nationality fields are displayed in the core banking system, the first of which is mandatory and the second is optional. This allows to collect up the 3 nationalities from a customer]",, ,,,4.10,4,,On what date did the Customer move to their residential address?,Date box: dd/mm/yyyy,, ,,,4.11,4,,What are the residential addresses held by the Customer during the last three years?,"Address (standard HSBC format) Date moved to (standard HSBC format)Note: If lived at current address for less than 3 years, collect up to 3 previous residential addresses during last 3 years with 1st one being mandatory",Conditional on answer to Q4.10 being within 3 years of the Customer's application date (Q1.10)., ,,,4.19,4,,What is the country or countries where the Customer is subject to tax obligations?,"Drop down: List of Countries(Multi select)Note: Change may be required at a later date to separate. Suggest changing this question to ""Where are you resident for Tax purposes"" with a country drop-down list with a further mandatory question ""Are you resident for tax purposes in any other county/ies"" [Yes/No] - if answer is yes, provide 2 further country drop-down lists with first one being mandatory and second one optional ]",, ,,,5.02,4,All,"Were any ""substantive discrepancies"" noted during the verification process?","Drop down: Yes / NoIf ""Yes"", complete Table 6 for referral to FCC",, ,,,5.04,4,,Have certified true copies of the original documents been obtained?,"Drop down: Yes / NoIf ""No"", AND the response to Q5.05 is ""No"", escalate to Business Risk/FCC (complete Table 3)If ""Yes"", retain documents on file","Conditional on ""non face-to-face"" response to Q5.01 and ""Documentary"" response to Q5.01a or ""No"" response to Q5.03a ", ,,,5.05,4,,Confirm that the Customer has visited HSBC premises to provide documentation.,"Drop down: Yes / NoIf ""No"", escalate to Business Risk/FCC (complete Table 3)If ""Yes"", retain documents on file","Conditional on ""non face-to-face"" response to Q5.01 and ""Documentary"" response to Q5.01a and ""No"" response to Q5.04", ,,,24.03b,5,All,Attach GDR link to visit report,GDR link,"Conditional on ""Site Visit"" OR ""Phone"" response to Q22.06", ,,,24.05,5,All,Was an HRR raised as a result of the visit?,Drop down: Yes / No,"Conditional on ""Yes"" response to Q24.02", ,,,5.13,4,,Has it been possible to obtain the required ID&V information?,Drop down: Yes/No,, ,,,24.02,5,All,Has the visit been undertaken?,Drop down: Yes / No,, ,,,24.03,5,All,On which date was the visit undertaken?,Drop down: mmm/yyy,"Conditional on ""Yes"" response to Q24.02", ,,,6,1,All,Is reliance being placed on the Party responsible for conducting due diligence on the Fund and its Investors? ,Drop- down: Yes /No ,"Conditional on ""No"" response to Q5 OR ""No"" response to (Q3 OR [""No"" response to Q3b AND ""No"" OR ""N/A"" response to Q3.c])", ,,,7,10,All,Confirm that the Beneficial Owners table(s) have been completed with the requested information for each Beneficial Owner.,Drop down: Yes/ No[Complete Table 2.1f for Entities and table 2.1g for Individuals],Conditional on 'Personal Investment Company (PIC)' OR 'Personal Investment Fund (PIF)' response to Q1, ,,,7.02,7,,Confirm that the Connected Parties Table 1 has been completed with the required information for each Connected Party associated with the Customer.,"Drop down: Yes/ NoIf ""No"", provide rationale and escalate to Business Risk/ FCC","Conditional on ""Yes"" response to Q10.02 ", ,,,7.03,7,,"Confirm that screening (including Screening against Official and Other Lists) has taken place, and the screening results have been attached to the relevant individuals in the applicable ID&V tables.",Check boxInstruction: attach link to document repository to the applicable ID&V tables.,"Conditional on ""Yes"" response to Q10.02 ", ,,,7.04,7,,"Are any of the Connected Party(ies) identified, Politically Exposed Persons (PEPs)?","Drop down: Yes/No.If Yes, complete table 4a for each Connected Party that is a PEP","Conditional on ""Yes"" response to Q7.03", ,,,8.04,12,,How are the initial funds going to be transferred to the account?,"Drop down: Cash transfer / Non-cash fund transfer(Multi select)Where cash transfer identified and this is over the local cash policy threshold [include tick box to select], record the following in the free text fields:-ID&V the depositor-Identify SoF","Conditional on ""Yes"" response to Q8.01a", ,,,8.1,8,All,In which Country(ies) is the Customer (including all subsidiaries and branches) physically present?,Check Box: list of Countries (Multiple select available)Instruction: Autopopulate Table 1.1 with all countries selected,, ,,,8.14,8c,,Confirm that the Connected Party(ies) Table 1 has been completed with the required information.,"Drop down: Yes / NoIf ""Yes"" - Retain evidence on fileIf ""No"" - escalate Customer to Business Risk/FCC (complete Table 3)","Conditional on ""Cash transfer"" response to Q8.04", ,,,8.15,8,High/ SCC,"Confirm that table 1.1 has been completed for the approximate number of branches, subsidiaries, and local offices, in each Country that the Customer is present.",Drop down: Yes/ No,, ,,,9.04,9,,What is the Customer's initial (i.e. existing) Source of Wealth?,"Multiple Field Selection ""Employment"" / ""Self-Employed"" / ""Lottery, Betting or Casino Win"" / ""Inheritance"" / ""Sale of Assets or Property"" / ""Gift"" / ""Pension"" / ""Business Ownership"" / ""Real Estate Development/Investment"" / ""Active Wealth/Investments "" / ""Artwork Investment""/ ""Family Relations or Royalty"" / ""Student loan"" / ""Unemployed"" / ""Other"" Instruction: Complete relevant section(s) in Table 2",, ,,,9.11,9,,What is the Customer's on-going Source of Wealth?,"Multi field selection: ""Employment"" / ""Self-Employed"" / ""Lottery, Betting or Casino Win"" / ""Inheritance"" / ""Sale of Assets or Property"" / ""Gift"" / ""Pension"" / ""Business Ownership"" / ""Real Estate Development/Investment"" / ""Active Wealth/Investments "" / ""Artwork Investment""/ ""Family Relations or Royalty"" / ""Student Loan"" / ""Unemployed""/ ""Other""Instruction: Populate Table 2 ","If ""Yes"" response to Q9.10a ", ,,,9.13,8c,,What is the Customer's estimated annual income? ,Free text: Number,, ,,,9.16,8c,,Will the Customer's income be paid directly into this account? ,"Drop down: Yes/NoIf ""No""; free text to provide rationale",, ,,,9.17,9,,What is the CustomerÕs estimated net worth?,Free text: Number,, ,,,10.01,10,,Confirm Table 6 has been completed to capture the purpose of each product/account the Customer is subscribing to.,Drop Down: Yes/ No,, ,,,10.02,7,,Are there any Connected parties associated with the Individual who have control or influence over the Customer's account?,Drop down: Yes / No,, ,,,10.04,10,,"Confirm the purpose of opening the account(s) is consistent with the expected account activity and the CustomerÕs profile, including their Source of Funds and Source of Wealth (where applicable)?","Drop down: Yes/NoIf ""Yes"": Provide explanation why information is consistentIf ""No"", escalate to Branch Manager/ Business Risk/FCC (complete Table 3) and provide rationale",, ,,,10.18,10,Low/ Medium,Has a Trust been identified in the ownership structure as owning 25% or more of the Customer via Trust?,Drop down: Yes / No,, ,,,10.19,10,All,"As a result of identifying an NPO or GSB in the ownership structure, has the Customer's FCRR been raised to SCC?",Drop down: Yes / No,"Conditional on ""Yes"" response to Q10.17 and/ or Q10.17a", ,,,12.02,12,,Have any negative news or reputational concerns about the Individual Customer been identified following from the contact or visit?,"Drop down: Yes/No If ""Yes"", escalate to Business Risk/ FCC (complete Table 3) and Local Management ","Conditional on ""Yes"" response to Q12.01c", ,,,13.03,12,,Was the visit to the Customer's place of relevance and where?,"Drop down: Yes / NoIf ""yes"" - provide detailsIf ""No"", provide rationale","Conditional on ""Yes"" response to Q12.01c AND (""Yes"" response to 12.01a OR response to Q13.02 is either: ""Yes: On-boarding visitation""; ""Yes: Recurring visitation""; ""Yes: Visit at the instruction of Business Risk/FCC"" OR ""Yes - Visitation following Customer identified as high risk / SCC within last 12 months"")", ,,,13.06,12,,Confirm that a meeting report was completed that the Customer KYC profile and Investment Profile have been updated and any change of circumstances relevant to the Customer profile has been recorded.,"Free text: Drop down: Yes/NoIf ""No""For GPB - escalate to Business Risk/ FCC (complete Table 3)","Conditional on any ""Yes"" response to Q12.01c", ,,,16.01,1,,Does the Customer have an existing relationship with the HSBC group?,Drop down: Yes / No,, ,,,16.07,16,,In what other countries is the Customer doing business with HSBC globally?,Check box: List of countries (multi-selective),"Conditional on ""Yes"" response to Q16.01", ,,,17.01,17,,"Confirm that the product table has been populated with the products that are being on-boarded /transacted, the purpose of each product and other relevant information requested.","Drop down: Yes/ NoIf ""No"": Free text field.",, ,,,18.02,4,,What is the Customers Local Tax Identification Number? ,Free text: alpha-numeric ,, ,,,18.03,4,,What is the Country of the Local Tax ID Number?,Multi-Select: List of all Countries,, ,,,18.04,18,,Has the Customer provided a secrecy Waiver?,Drop down: Yes/No/n/a ,"Conditional on answering ""W-9"" to Q.18.09.", ,,,18.05,4,,Does the Customer have a US Tax Identification Number?,"Drop down: Yes/No If Yes, Free text",, ,,,18.06,4,,Is the customer a Green cardholder or a lawful US permanent resident?,"Drop down: Yes/No (checkbox ""For Bank Use Only"" section)",, ,,,18.07,18,,Has Documentary evidence to establish their status been obtained?,"Drop down: Yes/No If Yes, provide link to document repository(checkbox ""For Bank Use Only"" section)",, ,,,18.08,18,,What is the Customers FATCA status?,"Autopupulated [List to be updated]:Non-USPOther than USSpecified USPRecalcitrant (FFI only)US Reportable (IGA Model 1 only)Non-Consenting US (IGA Model 2 only)Consenting US (IGA Model 2 only)FATCA status/classification is a read-only, non-editable field.",, ,,,18.09,18,,Does HSBC hold any of the forms listed from the Customer?,Checkbox: W8 BENW9HSBC declarationSelf Certification DocumentNoneLink to document repository,, ,,,18.1,11,,"Does the Customer have Standing instructions to pay amounts to a person with a US address, a US bank account or known USP Status? ",yes/no,, ,,,21.01,4,All,Is the Client required to comply with AML regulations?,Drop down: Yes / No,, ,,,21.02,4,PCM,Has the Client been subject to any AML regulatory enforcement actions or penalties in the past 10 years or since last review?,Drop down: Yes / No,, ,,,24.02,24,All,Has the visit been undertaken?,Drop down: Yes / No,"Conditional on ""Yes"" response to Q24.01", ,,,24.03,24,All,On which date was the visit undertaken?,Drop down: Date,"Conditional on ""Yes"" response to Q24.02", ,,,24.06,24,All,When is the AML site visit due?,"Drop down: date, option of ""no date scheduled""If ""No date scheduled"" selected, provide the justification for not scheduling a date. If necessary, provide the Link to the dispensation from FCC","Conditional on ""No"" response to Q24.02", ,,,25.01,25,All,Are there any business restrictions/ conditions to this Customer relationship?,Drop Down: Yes/ No,, ,,,25.02,25,All,"Provide details of the business restrictions, and attach any approvals from FCC.",Free text: description of business restrictionsLink to document repository,"Conditional on ""Yes"" response to Q25.01", ,,,26.01,26,All,Have any exceptions to HSBC Policy been agreed?,Drop down: Yes / No,, ,,,26.02,26,All,"Provide details of the policy exceptions. Attach relevant exception documents, and/or dispensations received from FCC.",Free text: details of exceptionsLink to document repository,"Conditional on ""Yes"" response to Q26.01", ,,,27.01,27,All,Have any matters been escalated to FCC in relation to the above CDD template?,Autopopulate: Yes / No,, ,,,28.01,16,All,In what other countries is the Customer doing business with HSBC globally?,Check box: List of countries (multi-selective),"Conditional on ""Yes"" response to Q1.06.1", ,,,33.04,10,Low/ Medium,"Confirm that tables 3, 3.1a and/ or 3.1b have been completed for all beneficiaries or class of beneficiaries entitled to 25% or more of the Customer via Trust.",Drop down: Yes / No / Threshold not reached,"Conditional on ""Yes"" response to Q10.18", ,,,33.06,10,Medium/ High/ SCC,Confirm that table 3 has been completed for the verification of the Trust.,"Drop Down: Yes/ NoIf ""No"", complete Table 6 for referral to FCC","Conditional on: [""Yes"" response to Q10.18 OR QA10.01] AND conditional on: [""No"" response to 3e.06d.2 AND ""No"" response to QA3.3 AND ""No"" response to QA3e.02]", ,,,33.28,6,All,"Confirm that the sensitive country information (including Sensitive Sanctions Policy, Sensitive Country Detail tab, and guidance) has been sent to the RM (with the local FCC team copied in) to be addressed with the client",Drop-down: Yes/No,, ,,,33.29,6,All,"Is the client or is the parent of the client a financial institution that is regulated in a jurisdiction that is a FATF member country without reported strategic AML/CTF deficiencies, which has been assessed as meeting the EU criteria for jurisdiction equivalence, and which is not assessed as a high-risk country per the Group CRRT?","Drop-down: Yes/NoLook-up of jurisdiction provided in response to Q3e.06b2 OR Q3e.05a against FATF member list, FATF strategic deficiencies list, EU equivalence list, and Group CRRT",, ,,,33.32,6,All,Is the client a Bank or NBFI?,Drop-down: Yes/NoAuto-populated based on template selection,, ,,,33.34,6,All,"Confirm that the sensitive country information (including Sensitive Sanctions Policy, Sensitive Country Detail tab, and guidance) has been sent to the RM for completion by the RM",Drop-down: Yes/No,, ,,,1.02a,1,,Does the Customer have any other name(s) he/she is known by?,Free text: Other names,, ,,,1.06.1,1,All,Does the Customer have an existing relationship with the HSBC group?,Drop down: Yes / No,, ,,,1.06a,13,,Was a reference obtained for the new Private Banking Customer account before the account was opened?,Drop down: Yes / No,"Conditional on ""Referral"" response to Q1.06", ,,,1.07b,1,All,How was the Customer referred to HSBC?,"Check box: Method of Referral ""HSBC Group referral""""Unsolicited"" ""Referred by another Customer"" ""Referred by a Professional entity (Management Company, Introducer, Intermediary, Accountant, etc.)""""RM Personal Contact""","Conditional on ""New Customer Onboarding"" response to Q1.06b", ,,,1.09a,13,,Documented the nature of the relationship between the referring party and the Customer?, Free text,"Conditional on ""Referral"" response to Q1.06", ,,,1.09aa,13,,Has the referring party known the Individual Customer for more than 6 months?,"Drop down: Yes/ NoIf ""No"", follow Walk-in procedures","Conditional on ""Referral"" response to Q1.06", ,,,1.09b,13,,Was the information provided by the referring party evidenced in writing and does it contain sufficient information for HSBC to complete a Customer profile and monitor account activity?,"Drop down: Yes/ NoIf ""No"", Please obtain","Conditional on ""Referral"" response to Q1.06", ,,,1.09c,13,,Was an HSBC Group Referral Form provided?,"Drop down: Yes/ NoIf ""No"", Please obtainIf ""Yes"", this should be retained on file","Conditional on ""Referral"" response to Q1.06 and ""Another HSBC Private Bank or Group Entities"" response to Q1.07", ,,,1.09d,13,,Was sufficient due diligence carried out on the Third Party referring the New Customer account?,"Drop down: Yes/ NoIf ""No"", please obtain","Conditional on ""Referral"" response to Q1.06 and ""Other"" response to Q1.07", ,,,1.09e,13,,Is the Customer a well-known personality for whom it is proposed that references are not obtained?,Drop down: Yes/ No,"Conditional on ""Referral"" response to Q1.06 and on ""No"" response to Q1.06a", ,,,1.09f,13,,Has FCC approval been obtained to waive the requirement to obtain references?,"Drop down: Yes/ NoIf yes, provide link to document repository","Conditional on ""Referral"" response to Q1.06, ""Yes"" response to Q1.09e, and on ""No"" response to Q1.06a", ,,,1.10b,1,All,"If ""Other"" selected, state the Customer's structure.",Free text: Customer Structure,, ,,,1.11a,1,All,What's the Country of incorporation of a customer's ultimate parent company?,Drop down: list of Countries,"Conditional on ""Subsidiary"", ""Branch"", ""Joint Venture"" or ""Other"" response to Q1.10", ,,,1.11b,1,All,Is there an existing CDD Profile available for the Ultimate Parent?,Drop down: Yes / No,"Conditional on ""Subsidiary"", ""Branch"", ""Joint Venture"" or ""Other"" response to Q1.10", ,,,1.18a,15,,Is there any other relevant information that you wish to note in relation to the Customer that may affect their application?,Free text: Description of other information ,, ,,,1.20a,13,,Has information provided by the Walk-In-Customer concerning SoF/SoW and business or occupation been verified prior to opening the account?,"Drop down: Yes/ NoIf ""No"", Customer is not permitted","Conditional on ""Walk-in-Customer"" response to Q1.06 OR ""No"" response to 1.09aa", ,,,1.20b,13,,Have the funds transferred from another financial institution by wire to the order of the account holder?,"Drop down: Yes/ NoIf ""No"", Customer is not permitted","Conditional on ""Walk-in-Customer"" response to Q1.06 OR ""No"" response to 1.09aa", ,,,1.20d,13,,Have the account(s) opened for a Walk-In Customer been placed on a watch list to monitored the account activity for 12 months?,"Drop down: Yes/ NoIf ""No"", Customer is not permitted","Conditional on ""Walk-in-Customer"" response to Q1.06 OR ""No"" response to 1.09aa", ,,,1.20e,13,,Have any SCC Walk-In-Customers presented themselves without an introduction?,"Drop down: Yes/ NoIf ""Yes"", business should not be permitted","Conditional on ""Walk-in-Customer"" response to Q1.06 OR ""No"" response to 1.09aa", ,,,1.a,1,All,Please provide details of the Fund type,Free text,"Conditional on ""Other"" response to Q1", ,,,10.22n,10,Low/ Medium,Confirm that the Beneficial Owners table has been completed with the requested information for each Beneficial Owner/ Partner (including Intermediate Owners) that own 25% or more of the ordinary share capital or 25% or more Partnership interest of the Customer.,Drop down: Yes/ No/ Threshold not reached[Complete Table 2.1a for Intermediate Owners and tables 2.1c and 2.1e for UBOs],"Conditional on ""Yes"" response to Q3e.06d.2 OR ""Yes"" response to QA3.3 OR ""Yes"" response to QA3e.02", ,,,10.a,1,All,Confirm that identification and verification of the Party has been performed as for a Direct Appointee of the Fund,Drop-down: Yes/NoInstruction: Complete Section 13.a of the Corporate and Partnerships template,"Conditional on ""Yes"" response to Q10", ,,,11.a01,10,,With which countries will the Customer be making transactions? ,"Drop down: List of CountriesIt will be evident from the answer whether cross border transactions are intended. If this is the case, for gpb Customers, complete Table 7.",, ,,,11.a4,11,,What will the Total Relationship Balances/ Asset Under Management held be within the first 12 months?,Free text: NumberTwo boxes:1 in local currency and 1 showing USD equivalentComplete Table 6 for details of expected transfers into/ out of the account,, ,,,11.a5,11,,Will the Customer hold complex investments in their personal name or through a private investment vehicle with HSBC? ,"Drop down: ""'Yes - Customer is a 'Complex Premier Customer' / 'No - Customer is a 'Retail Individual' ","Conditional on ""Yes"" to 11.a6", ,,,11.a6,11,,Is the Customer a Premier Top Tier Customer?,Drop down: Yes/No,"Conditional on ""RBWM"" response to Q1.05", ,,,11.a7,11,,"Is the Customer a High Net Worth Individual? (""HNWI"")","Auto populate: The Customer is HNWI where either: - The response to Q11.a6 is ""Yes"" AND the response to Q11.a4 is greater to or equal to the Equivalent TRB in that Market; OR- The response to Q11.a6 is ""No"" and the response to Q11.a4 is greater or equal to USD 1m.Note: Dependent on local customer type. If Premier Top Tier is not defined in a location, then Premier Top Tier is defaulted to Customers over 1m USD.","Conditional on ""RBWM"" response to Q1.05", ,,,11.a9,11,,Is the Customer likely to engage in funds transfers to/from high risk or Sensitive sanctioned countries?,"Auto populateIf any countries mentioned in Table 7 are sensitive sanctioned countries, escalate to FCC (complete Table 3)",, ,,,11.b01,10,,What is the total volume of these transactions?,Free text: Number,Conditional on any responses other than the country of the booking centre in Q11.a01, ,,,11.b3,11,,"What Financial Institution(s) or Bank(s) will the Customer be using to transfer monies or financial instruments on an on-going basis, into or from their account?",Free text: additional information on banks the Customer will use to transfer monies or financial instruments into or from their account,, ,,,11.c01,10,,What is the total value of these transactions?,Free text: NumberNote: amount will be entered in local CCY and converted to USD by the system,Conditional on any responses other than the country of the booking centre in Q11.a01, ,,,12.01a,12,,Was a Customer visit completed in lieu of Customer contact?,"Drop down: Yes/NoIf ""Yes"", provide rationale",, ,,,12.01b,12,,Were any other issues identified during the Customer visit or contact?,"Drop down: Yes/NoIf ""Yes"", escalate to Business Risk/ FCC","Conditional on any ""Yes"" response to Q12.01c", ,,,12.01c,12,,Was Customer contacted or visited? ,"Drop down: Yes/No If ""No"", provide rationale and escalate to Business Risk/ FCC (complete Table 3) ",Conditional on 'Yes' response to Q13.02 , ,,,12.02a,12,,Has the Customer contact or visit been recorded in the appropriate HSBC Relationship Management Systems or on the CDD Profile?,"Drop down: Yes/NoIf ""Yes""; Date box: dd/mm/yyyyIf ""No"", provide rationale","Conditional on ""Yes"" response to Q12.01c", ,,,12.a,1,All,Is the scheme associated with or limited to the employees of an entity or group of entities? ,Drop-down: Yes/No,"Conditional on ""Pension Fund"" response to Q1", ,,,12.b,1,All,Confirm that the entity or entities has/have been recorded and screened as a Related Party to the Fund.,Drop-down: Yes/NoComplete Section 15 of the Corporate and Partnership template for the entity/entities,"Conditional on ""Yes"" response to Q12.a", ,,,13.06n,13,High/ SCC,Confirm that table 4.1 has been completed for all Key Controllers.,"Drop down: Yes/ NoIf ""No"", complete Table 6 for referral to FCC","Conditional on ""Yes"" response to Q3e.06d.2 OR ""Yes"" response to QA3e.02", ,,,14.04n,13,High/ SCC,"Has the list of Key Controllers been verified, and the information populated in table 4.1?","Drop Down: Yes/ NoIf ""No"", complete Table 6 for referral to FCC","Conditional on ""Yes"" response to Q3e.06d.2 OR ""Yes"" response to QA3e.02", ,,,19b.01a,15,All,Confirm that table 5 has been populated for any Other Related Parties identified.,Drop down: Yes / No ,"Conditional on ""Yes"" response to QA15.01", ,,,2.15c,4,All,Has the Customer provided a signed BSCC Form?,Drop Down: Yes/ NoLink to document repository,"Conditional on ""Yes but no bearer shares have been issued"" response to Q2.14 ""No"" response to QA4.13", ,,,2.16b,4,All,"Are the issued shares held in the custody of either: - HSBC; or - An approved third party Custodian; or- The Ultimate Parent, which is an Acceptably Publicly Listed Entity and owns more than 90% of the Customer?","Drop down: ""Yes - Held in the custody of HSBC"", ""Yes - held by an approved third party"", ""Yes - held by Ultimate Parent"", ""No""Guidance note:If ""Yes - Held in the custody of HSBC"", ""Yes - held by an approved third party"" - Customer is allowed, no FCRR override required","Conditional on ""Yes and bearer shares have been issued"" response to Q2.14OR [""Yes"" response to QA4.19 AND ""No"" response to Q3c.03]AND/ OR ""Yes - IBSC"" response to QA4.21", ,,,2.16c,4,All,Has an exception been obtained from the appropriate LoB Reputational Risk and Client Selection Committee and the GSSM?,"Drop Down: Yes/ NoIf ""Yes"", insert the Link to document repository, Customer is classified as SCC.If ""No"" - exit Customer","Conditional on [""No"" response to Q2.15c AND ""No"" response to QA4.13]OR [""No"" response to QA4.04 AND ""No"" response to Q2.16b AND ""No"" response to QA4.16 QA4.05 AND ""No"" response to QA4.06]OR conditional on a High Risk country being identified in question 1.13 AND ""Yes and bearer shares have been issued"" response to Q2.14", ,,,6.07,2,All,GDR Link,GDR link,"Conditional on ""Yes"" response to 6.04", ,,,6.08,2,All,Please raise a HRR,,"Conditional on ""No"" response to 6.04", ,,,6.05c,2,All,Populate HRR table,,"Conditional on ""Yes"" resonce to Q6.05b ", ,,,2.a,1,All,Please describe HSBC's role in the structure,Free text,"Conditional on ""Other"" response to Q2", ,,,21.01a,4,All,Populate HRR table,,"Conditional on ""No"" response to Q21.01", ,,,21.02b,4,PCM,Populate HRR table,,"Conditional on ""Yes"" response to Q21.02", ,,,22.01a,5,All,Do the answers to these AML Questions apply to all subsidiaries and branches?,Drop down: Yes / No,"Conditional on ""Parent"" OR ""Subsidiary"" response to Q1.10", ,,,22.01a.2,5,All,Describe detail,Free text,"Conditional on ""No"" response to Q22.01a", ,,,22.01ai,5,All,Have the questions in this been answered (at the parent level) on behalf of the Group? ,Drop-down: Yes/No,"Conditional on ""Site Visit"" OR ""Phone"" response to Q22.06", ,,,22.a,22,All,Please provide details of the Instructing Party's AML controls regarding looking at Feeder Fund structures and omnibus account holdings to identify Beneficial Owners/Investors,Free text,, ,,,22.b,22,All,Please provide details of the Instructing Party's AML controls to prevent investments in assets which have been derived from the proceeds of crime,Free text,, ,,,27.01b,27,All,Provide a summary of issues and risks identified during the completion of this CDD profile and state how they were satisfactorily resolved.,Free text: summary of issues and risks,"Conditional on ""Yes"" response to Q27.01", ,,,3.a,1,All,What is the Instructing Party's country of primary regulation? ,Drop-down: Countries list,"Conditional on ""Yes"" response to Q3", ,,,3.b,1,All,Is the Instructing Party an equivalently regulated Financial Institution? ,Auto-populated: Yes/NoLook-up of country provided in response to Q3.a against FCCRRM and EU criteria,"Conditional on ""Yes"" response to Q3", ,,,3.c,1,All,Is the Instructing Party regulated by an Self-Regulatory Organisation on the HSBC approved list?,Yes- [Provide name of SRO]/ No/ N/A,"Conditional on ""No"" response to Q3b", ,,,33.04a,10,High/ SCC,"Confirm that tables 3, 3.1a and/ or 3.1b have been completed for all beneficiaries or class of beneficiaries entitled to 10% or more of the Customer via Trust.",Drop down: Yes / No / Threshold not reached,"Conditional on ""Yes"" response to QA10.01", ,,,33.24a,6,All,Confirm that negative news screening has been performed to identify any exposure to Sensitive Sanctioned Countries.,Drop-down: Yes/NoLink to document repository,, ,,,33.24b,6,All,"Please provide details of the screening results, including any findings of relevance.",Free text,, ,,,33.24c,6,All,Please provide details of why public information searches and background checks and/or negative news screening have not been performed.,Free text,, ,,,33.31c,6,All,"Confirm that the relevant details have been recorded, and that the FCRR and renewal schedule have been updated if required. No further action is required by the Analyst. ",Drop-down: Yes/No,, ,,,33.34a,6,All,"If you have answered the question ""Does your client (including branches, subsidiaries, affiliates and joint ventures) do business in sensitive countries"" without approaching the client, please provide brief details of the rationale for your decision.",Free text,, ,,,3a.03,3a,,What is the Customer's country in which their existing SoW was attained? ,"Auto populated from response to Q9.18Note: if more than one country is selected, the country with the highest risk rating will be populated here ",, ,,,3b.01,3b,,What is the Customer's occupation status?,"Drop down: Student, Employed Full Time, Employed Part Time, Not in employment, Self Employed, Retired(Multi-select)",, ,,,3b.01.2,2,SCC,"If the type of SCC selected was ""Other"", provide the reason/ justification for this SCC designation. ",Free text: Reason for SCC allocation,"Conditional on ""Other"" response to Q3b.01b", ,,,3c.02,3b,All,Select the name(s) of the stock exchange(s) from the drop down list provided.,Check Box: list of exchangesMultiple select available,"Conditional on ""Yes"" response to Q3c.01", ,,,3c.03,3b,All,Does the Customer have an approved equity listing on a HSBC approved exchange?,Autopopulate: Yes / No,"Conditional on ""Yes"" response to Q3c.01", ,,,3c.03b,3b,All,"Provide a link to the evidence verifying the exchange(s). If this capability is not available, manually input the data.",Link to document repositoryMultiple attachments available,"Conditional on ""Yes"" response to Q3c.01", ,,,3c.04,3b,All,"If the Parent company owns more than 50% of the Customer, is the Parent listed on any stock exchanges?",Drop down: Yes/ No,"Conditional on ""Subsidiary"", ""Branch"", ""Joint Venture"" or ""Other"" response to Q1.10", ,,,3c.06,3b,All,Select the name(s) of the Parent's exchange(s) from the drop down list provided.,Check Box: list of exchangesMultiple select available,"Conditional on ""Yes"" response to Q3c.04", ,,,3c.07,3b,All,Does the Parent have an approved equity listing on a HSBC approved exchange?,Autopopulate: Yes/ No,"Conditional on ""Yes"" response to Q3c.04. ", ,,,3c.07b,3b,All,"Provide a link to the evidence verifying the exchange(s). If this capability is not available, manually input the data.",Link to document repositoryMultiple attachments available,"Conditional on ""Yes"" response to Q3c.04 ", ,,,3d.04,3d,All,"If the Customer's business type or account type is prohibited, select the prohibited business or account type from the drop down list.",Drop down: List of prohibited business or account types- Shell Banks- Anonymous accounts- Casinos and other types of gambling operations (including online gambling)- Betting syndicates- Unregulated Internet Gaming / Gambling (and their payment processors)- Money Service Businesses (MSBs)- Financial Institutions designated under Section 311 of the USA PATRIOT Act- Unlicensed Banks and Brokers- N/A,, ,,,3d.04b,3e,All,"Provide the link to the evidence of regulation. If this capability is not available, manually input the data.",Link to document repository,"Conditional on ""Yes"" response to Q3e.04", ,,,3e.04,3e,All,Is the Customer majority owned and controlled (greater than 50%) by an Ultimate parent that is a regulated Financial Institution?,Drop down: Yes / No,"Conditional on ""Subsidiary"", ""Branch"", ""Joint Venture"" or ""Other"" response to Q1.10", ,,,3e.05,3e,All,Document the name of the Parent's regulatory body.,Free text: Name of regulatory body,"Conditional on ""Yes"" response to Q3e.04", ,,,3e.05a,3e,All,State the country of the regulatory body,Drop down: list of countries,"Conditional on ""Yes"" response to Q3e.04", ,,,3e.06d.2,3b,All,Is the Customer an Acceptably Publicly Listed Entity?,Drop down: Yes/ No,, ,,,3f.09,29,All,"Confirm that the product risk table has been populated with the products that are being onboarded/transacted, the purpose of each product and other relevant information.",Drop down: Yes / No Instruction: Review Table 7,, ,,,4.11a,4,,Are the residential addresses held by the Customer for the previous six months in the same country as the Customer's current residential address? ,Autopopulated: Yes/NoSystem calculation: Comparison between responses to Q4.09 and Q.4.11,"Conditional on answer to Q4.10 being within 3 years of the Customer's application date (Q1.10) AND Conditional on ""RBWM"" response to Q.1.05", ,,,4.12a,4,,What is the rationale for the Customer opening an account in a booking centre which is not their country of residence?,Free text,Conditional on a non resident being identified in response to Q4.12b, ,,,4.12b,4,,Is the Customer not a resident in the country of the booking centre through which they are opening an account?,"Auto populated [Yes]Customer is non-resident/[No]Customer is residentSystem calculation: ""[No] Customer is Resident"" if the response to Q1.19 is equal to the country of the Customer's residential address (Q4.09) AND the response to Q4.11a is ""Yes"" or ""N/A""; Otherwise""[Yes] Customer is non-resident"" ","Conditional on ""RBWM"" response to Q1.05", ,,,4.20b,4,,Does the CustomerÕs country(ies) of Tax residence appear inconsistent with the Customers residential address(es) or Country of Local Tax ID?,"Drop down: Yes/NoIf ""Yes "" escalate to regional/local Tax (where appropriate) following CDD/AML escalation procedures","Conditional on response to multiple nationalities/ citizenships selected in Q4.06, multiple countries selected in Q4.19, Conditional on Non resident identified in response to Q4.12b", ,,,5.01b,4,All,Provide the link to supporting evidence for the Customer's Registered address.,Link to document repository,Conditional on information being provided in Q4.01, ,,,5.02a,4,,Confirm that the identity of the Customer has been verified through the use of documentary sources. ,"Drop down: Yes / NoIf ""No"", escalate to FCC (complete Table 3)","Conditional on ""Documentary source(s)"" response to Q5.01a", ,,,5.03a,4,,Confirm that the identity of the Customer has been verified through the use of electronic sources. ,"Drop down: Yes / NoIf ""No"", perform one of the additional verification steps in Q5.04-Q5.05b ","Conditional on ""Electronic source(s)"" response to Q5.01a", ,,,24.05b,5,All,Provide reference to HRR raised,Feed through to Section 27 below,"Conditional on ""Yes"" response to Q24.05", ,,,5.13a,4,,Was an exception request submitted to Business Risk/FCC?,"Drop down: Yes / NoIf ""No"", escalate to FCC (complete Table 3) (Complete Table 3)","Conditional on ""No"" response to Q5.13c", ,,,5.13b,4,,Was the exception request approved by Business Risk/FCC?,"Drop down: Yes / NoIf ""No"", do not proceed with on-boarding of the Customer or consider exiting the relationship ","Conditional on ""Yes"" response to Q5.13a", ,,,5.13c,4,,Is the Customer a Vulnerable Person or subject to another special case?,"Drop down: Yes/NoIf ""Yes"", refer to the Individuals ID&V Matrix on documentation for Vulnerable Persons and Other Special CasesIf ""No"", continue to Q5.13a","Conditional on ""No"" response to Q5.13", ,,,5.13d,4,,Specify the category of Vulnerable person or Special Case.,Drop down: Benefit or Social Welfare claimants Individuals in care homes/sheltered accommodation/refuge Individuals on probation Prisoners Students MinorsIndividuals who lack the capacity to manage their own affairsEconomic migrants Refugees Asylum seekers Other: Free text,"Conditional on ""Yes"" response to Q5.13c", ,,,5.13e,4,,Provide description of alternative verification document.,Free text: description ,"Conditional on ""Yes"" response to Q5.13c", ,,,24.02a,5,PCM & [COPO=HR],Why hasn't the visit been undertaken?,Free text,"Conditional on ""No"" response to Q24.03", ,,,5.a,9,All,Has the nominee agreement been obtained from the UBOs of the entity identifying the nominees used in the structure.,"Drop-down: Yes, NoIf 'Yes', link to document repository",Conditional on 'Yes' response to Q5, ,,,6.a,1,All,Is the Party responsible for conducting due diligence on the Fund and its Investors regulated? ,Drop- down: Yes/No ,, ,,,6.b,1,All,What is the country of primary regulation of the Party responsible for conducting due diligence on the Fund and its Investors? ,Drop-down: Countries list,"Conditional on ""Yes"" response to Q6.a", ,,,6.c,1,All,Is the Party responsible for conducting due diligence on the Fund and its Investors an equivalently regulated Financial Institution?,Auto-populated: Yes/NoLook-up of country provided in response to Q3.a against FCCRM and EU criteria,"Conditional on ""Yes"" response to Q6.b", ,,,6.d,1,All,Is the Party responsible for conducting due diligence on the Fund and its Investors regulated by an Self-Regulatory Organisation on the HSBC approved list?,Yes- [Name of SRO to be selected from auto-populated dropdown list of approved SROs]/ No/ N/A,"Conditional on ""No"" response to Q6.c", ,,,6a,9,All,Are there three or more layers in the ownership or control structures around the entity?,"Drop down: Yes, NoIf 'Yes', complete Table 6 to refer to FCC",Conditional on 'Yes' response to Q5, ,,,6b,9,All,Have any unusual characteristics in the ownership or control structure of the entity been identified? ,"Drop down: Yes, NoIf 'Yes', complete Table 6 to refer to FCC",Conditional on 'Personal Investment Company (PIC)' OR 'Personal Investment Fund (PIF)' response to Q1, ,,,7.03a,7,,"Confirm that screening for Negative News/Facts of Connected Party(ies) has taken place, and the screening results have been attached to the relevant individuals in the applicable ID&V tables.",Check boxInstruction: attach link to document repository to the applicable ID&V tables.,"Conditional on ""Yes"" response to Q10.02 ", ,,,7a.1,1,All,Confirm that two-way agreement has been set up with the Party on which reliance is being placed,"Drop-down: Yes/NoIf ""Yes"", insert document repository link to the two-way written communication signed by the Party on which reliance is being placed","Conditional on ( ""Yes"" response to Q6 AND [""No"" response to Q6c AND 6d]) OR (""Yes"" response to Q5 AND [""No"" response to Q3b AND Q3c])", ,,,7b,1,All,Confirm that a two-way written communication has been sent to the Party on which reliance is being placed,"Drop-down: Yes/NoIf ""Yes"", insert document repository link to the two-way written communication signed by the Party on which reliance is being placed","Conditional on ( ""Yes"" response to Q6 AND [""Yes"" response to Q6c OR 6d]) AND (""Yes"" response to Q5 AND [""Yes"" response to Q3b OR Q3c])", ,,,8.01a,8c,,What's the value of the funds to be deposited in the account(s) within 12 months of opening? Note: Local currency to be used in question.,Free text: NumberThis will require two fields:1 to fill out amount in local currency1 to show USD conversion valueTick Box: N/A,, ,,,8.02f.s,8,All,"Select the source of the key financial data from the drop down list provided, and attach the link to the source of information.","Drop down: ""Annual Audited reports and accounts"", ""Unaudited report and accounts"", ""Bank statements"", ""Tax returns"", ""Other""Link to document repository","Conditional on ""Yes"" response to T11.1", ,,,8.04c,8a,,Confirm that the Customer's initial non-cash fund transfer has been validated.,"Drop down: Yes / NoIf ""Yes"" - Retain evidence on fileIf ""No"" - Provide rationale and escalate to Business Risk/FCC (complete Table 3)","Conditional on ""Non Cash fund transfer"" response to Q8.04", ,,,8.05b,8,All,"Provide additional description of the products and services offered by the Fund (to include the geography, industry and form of investment [with significant concentrations noted] and the kinds of customers to which the Fund is marketed [including their geographic distribution and any concentrations])",Free text,, ,,,8.10a,8,,Confirm the Customer's occupation student status has been validated.,Drop down: Yes / NoIf No: escalate to Business Risk/ FCC (Complete Table 3),"Conditional on ""Student"" response to Q3b.01", ,,,8.12a,8a,,What is the method of transfer?,"Drop down: Wire from previous bank, inward direct debit, Other","Conditional on ""Non Cash fund transfer"" response to Q8.04", ,,,8.12b,8c,,Confirm that all Connected Party(ies) contributing to the account have been captured?,"Drop down: Yes/ NoIf ""Yes"" - Retain supporting documents and Complete Table 2If ""No"" - Provide rationale and escalate to Business Risk/FCC (complete Table 3)","Conditional on ""Student"" response to Q3b.01 ANDfunds transferred into the account in the first 12 months will exceed USD75k or local threshold", ,,,8.14a,8b,,Identify the source of the cash deposit.,"Drop down: Salary payment, Accounts with financial institution in Customer's name, OtherFree text: Other description","Conditional on ""Cash transfer"" response to Q8.04 and cash deposit above local threshold", ,,,8.14aa,12,,Has the source of the cash deposit been validated?,"Drop down: Yes / NoIf ""Yes"" - Retain evidence on fileIf ""No"" - escalate Customer to Business Risk/FCC (complete Table 3)","Conditional on ""Cash transfer"" response to Q8.04 and cash deposit above local threshold", ,,,8.14b,12,,Confirm that appropriate approval has been obtained in accordance with the LoB cash policy.,"Drop down: Yes / NoIf ""Yes"" - Retain evidence on fileIf ""No"" - escalate Customer to Business Risk/FCC (complete Table 3)","Conditional on ""Cash transfer"" response to Q8.04", ,,,8.17.s,8,All,Have there been any material changes to the business over the past five years or since the last review?,Drop down: Yes / No,"Conditional on ""Yes"" response to T11.1", ,,,8.18.s,8,All,Document these significant changes.,Free text: changes to the business,"Conditional on ""Yes"" response to T11.1Conditional on ""Yes"" response to Q8.17.s", ,,,8.19.s,8,All,What is the approximate number of employees in the company?,"Drop Down: Number""0"", ""1-5"", ""6-10"", ""11-20"", ""21-50"", ""51-100"", ""101-500"", ""501-1000"", ""1001-5000"", ""5001-10000"", ""10000+""","Conditional on ""Yes"" response to T11.1", ,,,8.a12,12,,Where does the transfer originate from?,"Drop down: Salary payment, Accounts with financial institution in Customer's name, OtherFree text: Other description","Conditional on ""Non Cash fund transfer"" response to Q8.04", ,,,8.b12,12,,Which country(ies) do the funds originate from?,Drop down: List of countries(multi select),"Conditional on ""Non Cash fund transfer"" response to Q8.04", ,,,9.05n,9,All,Provide evidence of the Customer's ownership structure.,Link to document repository,, ,,,9.08a,9,,Has the initial (i.e. existing) Source of Wealth been validated by use of 3rd party information or verified?,"Drop down: Yes/ NoIf ""Yes"" - Retain evidence on fileIf ""No"" - escalate to local FCC and complete Table 3",, ,,,9.08b,9,,Has the initial (i.e. existing) Source of Wealth been validated? ,"Drop down: Yes/ NoIf ""Yes"" - Retain evidence on fileIf ""No"" - escalate to local FCC and complete Table 3",, ,,,9.10a,9,,Is the Customer's on-going Source of Wealth different to their initial Source of Wealth?,Drop down: Yes/ No ,, ,,,9.12b,9,,Has the on-going Source of Wealth been validated by a 3rd party/ verified if possible?,"Drop down: Yes/ NoIf ""Yes"" - Retain evidence on fileIf ""No"" - complete Table 3","If ""Yes"" response to Q9.10a and if ""No"" to Q9.12c and only required if validation does not provide sufficient information on the Customer", ,,,9.12c,9,,Has the on-going Source of Wealth been validated? ,"Drop down: Yes/ NoIf ""Yes"" - Retain evidence on fileIf ""No"" - complete Table 3","If ""Yes"" response to Q9.10a ", ,,,A1.01,1,All,On what date did the Customer relationship begin in the local jurisdiction?,Drop down: Date,"Conditional on ""New Customer Onboarding"" OR ""Remediation"" response from Q1.06b", ,,,A1.02,1,All,Confirm further details on the Professional entity have been populated in table 10.,Drop down: Yes/ No,"Conditional on ""Referred by a Professional (Management Company, Introducer, Intermediary, Accountant, etc.)"" response to Q1.07b", ,,,A1.04,1,All,Is the Customer entity part of a Mastergroup?,Drop down: Yes/ No,, ,,,A1.05,1,All,What is the name of the Mastergroup?,"Look up of an existing Mastergroup name, or create a new Mastergroup profile for a new group","Conditional on ""Yes"" response to QA1.04", ,,,A1.07,1,All,Does the Sole Trader have more than one Key Controller?,Drop down: Yes/ No,, ,,,A1.08,1,All,Is the Sole Traders annual turnover more than US$1M?,Drop down: Yes/ No,, ,,,A1.09,1,All,"Is the expected source of funds more than US$150,000?",Drop down: Yes/ No,, ,,,A1.10,1,All,Is the Sole Trader an SCC business type or a business type that is subject to AML regulations and/ or does the Sole Trader manage third party funds?,Drop down: Yes/ No,, ,,,A1.11,1,All,Are the HSBC products used by the Sole Trader simple?,Drop down: Yes/ No,, ,,,A1.12,1,All,Are the Sole Trader's operations domestic only?,Drop down: Yes/ No,, ,,,A1.13,1,All,Is the Sole Trader Simple or Complex?,"Drop down: ""Simple"", ""Complex""",, ,,,A10.01,10,High/ SCC,Has a Trust been identified in the ownership structure as owning 10% or more of the Customer via Trust?,Drop down: Yes/ No,, ,,,A10.02,10,All,Confirm that tables 3.1a and/ or 3.1b have been completed for the trustee / protector of the trust (up to 5 individuals).,Drop down: Yes/ No,"Conditional on ""Yes"" response to Q10.18 or QA10.01", ,,,A10.04,10,All,Confirm that tables 3.1a and/ or 3.1b have been completed for all of the settlors of the trust who contribute more than 10% of funds to the Customer (via the Trust). ,Drop down: Yes/ No/ Threshold not reached,"Conditional on ""Yes"" response to either QA10.01 or 10.18", ,,,A10.05,10,Low/ Medium,Has a Foundation been identified in the ownership structure as owning 25% or more of the Customer?,Drop down: Yes / No,, ,,,A10.06,10,High/ SCC,Has a Foundation been identified in the ownership structure as owning 10% or more of the Customer?,Drop down: Yes/ No,, ,,,A10.07,10,All,Confirm that tables 3.1a and/ or 3.1b have been completed for the council members of the Foundation (up to 5 individuals). ,Drop down: Yes/ No,"Conditional on ""Yes"" response to QA10.05 or QA10.06", ,,,A10.08,10,Low/ Medium,"Confirm that tables 3, 3.1a and/ or 3.1b have been completed for all beneficiaries or class of beneficiaries entitled to 25% or more of the Customer.",Drop down: Yes / No / Threshold not reached,"Conditional on ""Yes"" response to QA10.05", ,,,A10.09,10,High/ SCC,"Confirm that tables 3, 3.1a and/ or 3.1b have been completed for all beneficiaries or class of beneficiaries entitled to 10% or more of the Customer.",Drop down: Yes / No / Threshold not reached,"Conditional on ""Yes"" response to QA10.06", ,,,A10.11,10,All,Confirm that tables 3.1a and/ or 3.1b have been completed for all of the Founders of the Foundation who contribute more than 10% of funds to the Customer (via the foundation). ,Drop down: Yes/ No/ Threshold not reached,"Conditional on ""Yes"" response to QA10.06 OR QA10.05", ,,,A10.12,10,All,Does a family group collectively own more than the stated thresholds of 10% for High/ SCC customers or 25% for low/ medium customers?,Drop Down: Yes/ No,, ,,,A10.14,10,All,Confirm that table 2.1a or table 2.1e has been completed for any High risk GSB or NPO identified in the ownership structure.,Drop down: Yes/ No,"Conditional on ""Yes"" response to Q10.17 and/ or Q10.17a", ,,,A10.15,10,All,Confirm that tables 2.1b and/ or 2.1c have been completed for each family member.,Drop down: Yes/ No,"Conditional on ""Yes"" response to QA10.12", ,,,A10.16,10,All,Confirm that table 3 has been completed for any Trusts identified in the ownership structure meeting the relevant ownership thresholds.,Drop down: Yes/ No,"Conditional on ""Yes"" response to Q10.18 or QA10.01", ,,,A10.17,10,All,Confirm that table 3 has been completed for any Foundations identified in the ownership structure meeting the relevant ownership thresholds.,Drop down: Yes/ No,"Conditional on ""Yes"" response to QA10.05 or QA10.06", ,,,A10.22n,10,Low/ Medium,Confirm that the Beneficial Owners table has been completed with the requested information for each Beneficial Owner/ Partner (including Intermediate Owners) that own 25% or more of the ordinary share capital or 25% or more Partnership interest of the Customer.,Drop down: Yes/ No/ Threshold not reached[Complete Table 2.1a for Intermediate Owners and table 2.1b and 2.1e for UBOs],"Conditional on ""No"" response to Q3e.06d.2 AND ""No"" response to QA3.3 AND ""No"" response to QA3e.02", ,,,A10.23n,10,High/ SCC,Confirm that the Beneficial Owners table has been completed with the requested information for each Beneficial Owner/ Partner (including Intermediate Owners) that owns 10% or more of the ordinary share capital or 10% or more Partnership interest of the Customer. ,Drop Down: Yes/ No/ Threshold not reached[Complete Table 2.1a for Intermediate Owners and tables 2.1b and 2.1e for UBOs],"Conditional on ""No"" response to Q3e.06d.2 AND ""No"" response to QA3.3 AND ""No"" response to QA3e.02", ,,,A11.01,10,Medium/ High/ SCC,"Confirm that the verification section in tables 2.1a, 2.1b and/ or 2.1e have been completed for the Ultimate Beneficial Owners/ Partners identified in section 10.","Drop down: Yes / NoIf ""No"" complete Table 6 for referral to FCC","Conditional on ""No"" response to 3e.06d.2 AND ""No"" response to QA3.3 AND ""No"" response to QA3e.02", ,,,A11.08,10,High/ SCCAll,Confirm that table 3 has been completed for the verification of the Trust.,"Drop down: Yes/ NoIf ""No"", complete Table 6 for referral to FCC","Conditional on: [""Yes"" response to Q10.18 OR QA10.01]AND conditional on: [""Yes"" response to QA3.3 OR ""Yes"" response to QA3e.02[""No"" response to 3e.06d.2 AND ""No"" response to QA3.3 AND ""No"" response to QA3e.02]", ,,,A11.09,10,Medium/ High/ SCC,Confirm that table 3 has been completed for the verification of the Foundation.,"Drop Down: Yes/ NoIf ""No"", complete Table 6 for referral to FCC","Conditional on: [""Yes"" response to Q10.05 OR QA10.06] AND conditional on: [""No"" response to 3e.06d.2 AND ""No"" response to QA3.3 AND ""No"" response to QA3e.02]", ,,,A11.10,10,Medium/ High/ SCC,Confirm that tables 3.1a and 3.1b have been completed for the verification of the identified connected parties to the Foundation.,"Drop Down: Yes/ NoIf ""No"", complete Table 6 for referral to FCC","Conditional on: [""Yes"" response to Q10.05 OR QA10.06] AND conditional on: [""No"" response to 3e.06d.2 AND ""No"" response to QA3.3 AND ""No"" response to QA3e.02]", ,,,A11.11,10,High/ SCC,Confirm that tables 3.1a and 3.1b have been completed for the verification of the identified connected parties to the Trust.,"Drop down: Yes/ NoIf ""No"", complete Table 6 for referral to FCC","Conditional on: [""Yes"" response to Q10.18 OR QA10.01]AND conditional on: ""Yes"" response to QA3.3 OR ""Yes"" response to QA3e.02", ,,,A11.12,10,High/ SCCAll,Confirm that table 3 has been completed for the verification of the Foundation.,"Drop down: Yes/ NoIf ""No"", complete Table 6 for referral to FCC","Conditional on: [""Yes"" response to Q10.18 OR QA10.01]AND conditional on: ""Yes"" response to QA3.3 OR ""Yes"" response to QA3e.02[""No"" response to 3e.06d.2 AND ""No"" response to QA3.3 AND ""No"" response to QA3e.02]", ,,,A11.13,10,High/ SCC,Confirm that tables 3.1a and 3.1b have been completed for the verification of the identified connected parties to the Foundation.,"Drop down: Yes/ NoIf ""No"", complete Table 6 for referral to FCC","Conditional on:[""Yes"" response to QA10.05 or QA10.06]AND conditional on: ""Yes"" response to QA3.3 OR ""Yes"" response to QA3e.02", ,,,A11.7,10,Medium/ High/ SCC,Confirm that tables 3.1a and 3.1b have been completed for the verification of the identified connected parties to the Trust.,"Drop Down: Yes/ NoIf ""No"", complete Table 6 for referral to FCC","Conditional on: [""Yes"" response to Q10.05 OR QA10.06] AND conditional on: [""No"" response to 3e.06d.2 AND ""No"" response to QA3.3 AND ""No"" response to QA3e.02]", ,,,A13.05,13a,All,Have the full names of all Direct Appointees been captured in table 9.1?,Drop down: Yes/ No,"Question to be answered only when directed by FCCConditional on [""Yes"" response to Q3e.06d.2 OR ""Yes"" response to QA3e.02] AND""Yes"" response to QA13.15", ,,,A13.07,13,All,Has a Fraud Certification been completed?,Drop down: Yes/ No,"Conditional on ""No"" response to Q3e.06d.2 AND ""No"" response to QA3.3 AND ""No"" response to QA3e.02", ,,,A13.1,13,All,Has Product onboarding or maintenance identified any sole authorised signatories on the HSBC account? ,Drop down: Yes/ No,, ,,,A13.10,13a,Low/ Medium,Have the full names of all Direct Appointees been captured in table 9.2?,Drop down: Yes/ No,"Question to be answered only when directed by FCCConditional on [""Yes"" response to QA3.3 AND ""No"" response to QA3e.02]AND""Yes"" response to QA13.15", ,,,A13.11,13a,High/ SCC,Has the full name and DoB of all Direct Appointees been captured in table 9.2?,Drop down: Yes/ No,"Question to be answered only when directed by FCCConditional on [""Yes"" response to QA3.3 AND ""No"" response to QA3e.02]AND""Yes"" response to QA13.15", ,,,A13.14,13,All,Document the rationale behind the Customer appointing Sole Signatories.,Free Text: Rationale for use of sole signatoriesComplete Table 6 for referral to FCC,"Conditional on ""Yes"" response to A13.1", ,,,A13.3.s,10a,All,Confirm that table 4.3a has been completed for all Key Controllers.,"Drop down: Yes/ NoIf ""No"", complete Table 6 for referral to FCC","Conditional on ""Yes"" response to T11.1 ", ,,,A14.02,13,All,"Has the list of Key Controllers been verified, and the information populated in table 4.2?","Drop Down: Yes/ NoIf ""No"", complete Table 6 for referral to FCC","Conditional on ""No"" response to QA3e.02 AND ""Yes"" response to QA3.3", ,,,A15.01,15,All,Have any Other Related Parties been identified?,Drop down: Yes/ No,, ,,,A15.02,15,All,"If no, provide an explanation.",Free Text: Explanation of no verification,"Conditional on ""No"" response to A15.03", ,,,A15.03,15,All,Confirm that table 5 has been completed for the verification of any Other Related Parties identified.,Drop down: Yes / No,"Conditional on ""Yes"" response to 19b.01a", ,,,A17.01,17,All,"Is the Customer a start up business, or have they been established for up to two years or more than two years?","Drop down: ""Start up"", ""Established business - up to 2 years old"", ""Established business - more than 2 years old""",, ,,,A17.02,17,All,What documentation has been used to validate the Source of Wealth?,Free text: document nameLink to document repository,"Conditional on ""Established business - up to 2 years old"" or ""Established business - more than 2 years old"" response to QA17.01", ,,,A23.2,18,All,Are cash deposits made on a regular basis?,"Drop Down: ""Multiple times per day"", ""Daily"", ""Weekly"", ""Monthly"", ""Quarterly"", ""Annually"", ""Never"".",, ,,,A23.3,18,All,Confirm that Table 7.1 and Table 7.2 have been completed to capture the purpose of product/ account.,Drop Down: Yes/ No,, ,,,A23.5,18,All,Are international wire transfers made on a regular basis?,"Drop Down: Frequency""Multiple times per day"", ""Daily"", ""Weekly"", ""Monthly"", ""Quarterly"", ""Annually"", ""Never"".",, ,,,A23.6,18,All,What type of activity is the account to be used for?,"Drop Down: Activity""Personal activity"", ""Commercial activity"", ""Both Personal and Commercial activity""",, ,,,A23.7,18,All,"Where the Customer is non-resident, provide rationale as to why the Customer wishes to open an account in the country.",Free Text: Rationale,, ,,,A24.04,24,All,Document any areas of financial crime concerns discussed during the visit.,"Free Text: Areas of concern discussedIf areas of concern remain unresolved, complete Table 6 for referral to FCC","Conditional on ""Yes"" response to Q24.02", ,,,A24.05,24,All,Document the name and title of the person(s) making the visit from HSBC,Staff lookup from system,"Conditional on ""Yes"" response to Q24.02", ,,,A24.06,24,All,Document the names and titles of person(s) interviewed.,Free Text: Name and title,"Conditional on ""Yes"" response to Q24.02", ,,,A28.03,28,All,Does the Customer have an existing relationship with RBWM or GPB in the local jurisdiction where the Sole Trader Account is being opened?,"Drop down: ""Yes - GPB""""Yes - RBWM""""No""","Conditional on ""Yes"" response to 1.06.1", ,,,A28.04,28,All,What is the profile reference number of the Customer for their existing RBWM account?,Free Text: reference number,"Conditional on ""Yes - RBWM"" response to A28.03", ,,,A28.05,28,All,Is the Customer classified as a Low or Medium risk Retail Customer?,Drop down: Yes / No,"Conditional on ""Yes - RBWM"" response to A28.03", ,,,A3.5,3b,All,What is the Customer's local legal entity structure?,Drop Down: Locally defined legal entity structures,, ,,,A34.03,34,All,What is the HSBC Site FATCA Status?,Drop down: Model 1 IGAModel 2 IGAPFFINPFFILimited FFI,, ,,,A34.05,34,All,What is the Customer's QI / NQI Status?,Drop down:QINQIN/A,, ,,,A34.06,34,All,What is the Customer's FATCA Classification/ Status?,"Drop down [List to be updated and subject to further change]:Nonparticipating FFI (Consenting) (FFI and IGA Model 2 only)Nonparticipating FFI (Non-Consenting) (FFI and IGA Model 2 only)Recalcitrant (FFI only)US Reportable (IGA Model 1 only)Consenting US (IGA Model 2 only)Non-Consenting US (IGA Model 2 only)Specified USPUSPParticipating FFIReporting Model 1 FFIReporting Model 2 FFIRegistered Deemed-Compliant FFI (Other)Sponsored FFI that has not obtained a GIINCertified deemed-compliant nonregistering local bankCertified deemed-compliant FFI with only low-value accountsCertified deemed-compliant sponsored, closely held investment vehicleCertified deemed-compliant limited life debt investment vehicleCertified deemed-compliant investment advisors and investment managersUS owned owner-documented FFINon US owned owner-documented FFIRestricted distributorNonreporting IGA FFI (including a FFI treated as a RD-CFFI under an applicable Model 2 IGA)Foreign government, government of a U.S. possession, or foreign central bank of issueInternational organizationExempt retirement plansEntity wholly owned by exempt beneficial ownersTerritory financial institutionNonfinancial group entityExcepted nonfinancial start-up companyExcepted nonfinancial entity in liquidation or bankruptcy501 (c) organizationNonprofit organizationPublicly traded NFFE or NFFE affiliate of a publicly traded corporationExcepted territory NFFEActive NFFEUS owned passive NFFENon US owned passive NFFEExcepted inter-affiliate FFIDirect reporting NFFESponsored direct reporting NFFEUS BranchExisting to Bank - Temp Final Status",, ,,,A34.09,4,All,Is the Customer either in Liquidation or has filed for Bankruptcy? ,Drop down: Yes/No ,, ,,,A34.10,18,All,Does HSBC hold any of the forms listed from the Customer?,Checkbox: W-8 BEN-EW-8 IMYW-8 ECIW-8 EXPW9HSBC declarationPublicly Available Information/Other Self Certification DocumentNoneLink to document repository,, ,,,A34.11,4,All,"If a telephone number exists on file for the entity, confirm whether this is a US number?",Drop down: Yes/ No,, ,,,A34.12,18,All,"Does the Customer have Standing instructions to pay amounts to a person with a US address, a US bank account or known USP Status?",Autopopulated ,, ,,,A3b.01,3b,All,Is the entity a wholly owned Subsidiary?,Drop down: Yes/ No,"Conditional on ""Yes"" response to Q3e.06d.2", ,,,A3d.06b,8,All,Do any of the answers given within this section require escalation to FCC?,"Drop down: Yes / NoIf ""Yes"" complete Table 6 for referral to FCC",, ,,,A3e.02,3e,All,Is the Customer an Equivalently Regulated Financial Institution?,Autopopulate: Yes/ No,, ,,,A3e.03,3e,All,Is the Country of the regulatory body non-high risk per the FCCRM?,Autopopulate: Yes/ No,"Conditional on ""Yes"" response to Q3e.06 OR Q3e.04", ,,,A3e.04,3e,All,Is the Country of the regulatory body a member of FATF with no reported strategic AML/ CTF deficiencies?,Autopopulate: Yes/ No,"Conditional on ""Yes"" response to Q3e.06 OR Q3e.04", ,,,A3e.05,3e,All,Has the Country of the regulatory body been assessed as meeting the European Union criteria for jurisdictional equivalence?,Autopopulate: Yes/ No,"Conditional on ""Yes"" response to Q3e.06 OR Q3e.04", ,,,A3e.06,3e,All,Is the Customer audited by an international firm of accountants?,Drop down: Yes/ No,"Conditional on ""No"" response to Q3e.06d.2", ,,,A3e.07,3e,All,Does the Customer meet one of the following financial criteria:- Has turnover of US$1b or more on a consolidated basis; OR- Has assets under management exceeding US$5b,"Checkbox:""Has turnover of US$1b or more on a consolidated basis""""Has assets under management exceeding US$5b""""No""Drop down: Yes/ NoIf ""Yes"", select which criteria is met: Check box: ""Turnover of US$1b or more"", ""Assets under management exceeds US$5b""","Conditional on ""No"" response to Q3e.06d.2", ,,,A3e.08,3e,All,"Does the Customer meet two or more of the following non-financial criteria:a) Listed on a non-HSBC approved stock exchange;b) Operates in three or more countries;c) Has a credit rating from a major credit agency; andd) Has at least 10,000 employees.","Check box:""Listed on a non-HSBC approved stock exchange""""Operates in three or more countries""""Has a credit rating from a major credit agency""""Has at least 10,000 employees""""No""Drop down: Yes/ NoIf ""Yes"", select which criteria are met: Check box: ""Listed on a non-HSBC approved stock exchange"", ""Operates in three or more countries"", ""Has a credit rating from a major credit agency"", ""Has at least 10,000 employees""","Conditional on ""No"" response to Q3e.06d.2", ,,,A4.03,4,All,"Is the Customer's Country of Incorporation in either: - A jurisdiction where bearer shares are not permitted by law, or - An approved jurisdiction for bearer shares, i.e. the jurisdiction has enforced legislation that requires bearer shares to be registered in a public registry?",Drop Down: Yes/ No,"Conditional on ""Yes"" response to QA4.18", ,,,A4.07,4,All,"Document the registered office address of incorporation/ formation of the Subsidiary that the Customer is a branch of, where applicable.","Business address (std HSBC format), N/A option available","Conditional on ""Branch"" response to Q1.10", ,,,A4.10,4,All,"Provide a link to the Customer's Articles of Association (or equivalent) or an extract of the Articles of Association signed by the company secretary which confirms all details relating to the companyÕs authorised and issued share capital and whether some or all of it may be in bearer form, to determine Bearer Share capability.",Link to document repository,"Conditional on a ""No"" response to QA4.03 AND a ""No"" response to QA4.12", ,,,A4.12,4,All,Is the Customer a subsidiary owned over 90% by an Ultimate Parent that is a Government entity?,Drop down: Yes/ No,, ,,,A4.13,4,All,Has the Customer signed Terms and Conditions that state an obligation for the Customer to inform the bank of changes to bearer share status?,Drop down: Yes/ No,"Conditional on ""Yes but no bearer shares have been issued"" response to Q2.14 OR ""Yes - BSCC"" response to QA4.21", ,,,A4.14,4,All,"What is the name of the Custodian, and the nature of the relationship between the Custodian and the Customer?",Free Text: Name and relationship details,"Conditional on ""Yes - held by an approved third party"" response to Q2.16b", ,,,A4.15,4,All,"Has confirmation been received from the Custodian of full details of Bearer Shares and their beneficial ownership and have they confirmed that they will immediately notify HSBC of any changes in custody, beneficial ownership and bearer share equity structure?",Drop Down: Yes/ NoLink to document repository,"Conditional on ""Yes - held by an approved third party"" or ""Yes - held by Ultimate Parent"" response to Q2.16b", ,,,A4.16,4,All,Have the bearer shares in issue been cancelled and reissued in registered form and included in a register of shareholders maintained by the Customer/ IO?,Drop down: Yes/ No,"Conditional on ""Yes and bearer shares have been issued"" response to Q2.14OR [""Yes"" response to QA4.19 AND ""No"" response to Q3c.03]AND/ OR ""Yes - IBSC"" response to QA4.21", ,,,A4.17,4,All,What is the approved third party Custodian's profile reference number?,Free text: profile reference number,"Conditional on ""Yes"" response to A4.20", ,,,A4.18,4,All,Is the Customer's legal form capable of issuing bearer shares?,Drop down: Yes/ No,"Conditional on ""Yes"" response to QA4.08", ,,,A4.19,4,All,Have Bearer Shares been identified during the course of CDD?,Drop down: Yes/ No,, ,,,A4.20,4,All,"Have the ID&V, screening and Nature of Business requirements for the Custodian been recorded in a separate profile?",Drop down: Yes/ No,"Conditional on ""Yes - held by an approved third party"" response to Q2.16b", ,,,A4.21,4,All,Has an Intermediate Owner been identified in the ownership structure as being a BSCC or an IBSC?,Drop down:Yes - IBSCYes - BSCCNo,, ,,,A4.23,4,All,Are the Bearer shares traded on a stock exchange approved for bearer shares?,Drop Down: Yes/ No,"Conditional on ""Yes and bearer shares have been issued"" response to Q2.14", ,,,A5.01,4,All,Confirm the date of birth of the Sole Trader has been verified.,Drop down: Yes/ NoLink to document repository,, ,,,A5.02,4,All,Confirm the Sole Trader's residential address has been verified.,Drop down: Yes/ NoLink to document repository,, ,,,A7.14,3d,All,"If the Customer has been incorporated within the last year, what is the nature of the Parent's business (standard industry classification code)?",Check Box: list of standard industry classification codes and descriptions Multiple selection available,"Conditional on ""Subsidiary"", ""branch"" or ""Joint Venture"" response to question 1.10, AND year of incorporation identified in question 4.07 being within the last 12 months.", ,,,A7.7.s,8,All,"If ""Other"" response selected, provide further details of the source of information.",Free Text: Further details,"Conditional on ""Yes"" response to T11.1Conditional on ""Other"" response to Q8.02f.s", ,,,A8.13,8,All,What is the approximate amount to be transferred into the HSBC accounts?,"Free text: amount to be transferred, N/A option available",, ,,,A8.17,8,All,Is the aggregate amount across all accounts to be transferred consistent with the information provided on the Customer's SoW and Nature of Business?,Drop down: Yes / No Free text field: RM is to record the documentation seen and any explanation required. ,, ,,,A8.18,8,All,Do any of the answers given within this section require escalation to FCC?,"Drop down: Yes / NoIf ""Yes"" complete Table 6 for referral to FCC",, ,,,A8.18.s,8,All,Do any of the answers given within this section require escalation to FCC?,"Drop down: Yes / NoIf ""Yes"" complete Table 6 for referral to FCC","Conditional on ""Yes"" response to T11.1", ,,,A8.18b,8,All,Do any of the answers given within this section require escalation to FCC?,"Drop down: Yes / NoIf ""Yes"" complete Table 6 for referral to FCC",, ,,,A8.20,8,High/ SCC,"If ""No"" response selected, provide the justification for why financial statements are not available.",Free Text: reasoning for No response,"Conditional on ""No"" response to QA8.11", ,,,A8.20.s,8,All,"If ""No"" response selected, provide the justification for why financial statements are not available.",Free Text: reasoning for No response,"Conditional on ""No"" response to QA8.11.s", ,,,A8.23.s,8,All,"If ""Other"" response selected, provide a description of the Key Financial data and its approximate total size.",Free Text: detail of Key Financial data and figure,"Conditional on ""Yes"" response to T11.1Conditional on ""Other"" response to Q8.02a.s", ,,,A8.25.s,8,All,How are the funds going to be transferred to HSBC?,"Drop down: ""Cash"", ""Domestic Wire Transfer"", ""International Wire Transfer"", ""Cheque""","Conditional on ""Business Income"", ""Business loan"", ""Investment by UBO/ Partner"", ""Sale of Property"", ""External Investment"" or ""Other"" response to QA8.14.s", ,,,A8.28,8,All,What is the Holding Company's economic purpose?,Free Text: economic purpose,"Conditional on ""Holding Company"" response to QA8.27", ,,,A8.28.s,8,All,What is the Holding Company's economic purpose?,Free Text: economic purpose,"Conditional on ""Yes"" response to T11.1Conditional on ""Holding Company"" response to QA8.27.s", ,,,A8.3.a,8,All,Confirm that table 1.2 has been completed capturing Countries where the Customer makes distributions greater than 10% of annual distributions,Drop down: Yes/ No/ Threshold Not reached,"Conditional on a response other than ""Trade Union"" response to QC8.1", ,,,A8.3.b,8,All,Confirm that table 1.2 has been completed capturing Countries where the Customer holds greater than 10% of total asset balance.,Drop down: Yes/ No/ Threshold Not reached,"Conditional on a response other than ""Trade Union"" response to QC8.1", ,,,A8.3.c,8,All,"Confirm that table 1.2 has been completed capturing Countries (outside of country of establishment) where purchases, revenues and assets held.",Drop down: Yes/ No,"Conditional on ""Trade Union"" response to QC8.1", ,,,A8.3.d,8,All,Confirm that table 1.2 has been completed capturing Countries (outside of contry of establishment) where the Customer makes distributions. ,Drop down: Yes/ No,"Conditional on ""Trade Union"" response to QC8.1", ,,,A8.3.e,8,All,Confirm that table 1.2 has been completed capturing Countries (outside of country of establishment) where the Customer holds assets.,Drop down: Yes/ No,"Conditional on ""Trade Union"" response to QC8.1", ,,,A8.3.s,16a,All,"Confirm that table 1.2a has been completed capturing Countries where purchases, revenues and assets held are greater than 10% at either the group or legal entity level.",Drop down: Yes/ No,"Conditional on ""Yes"" response to T11.1", ,,,BAML8.18,5,All,Does the RM have any concerns with any of the answers in the Correspondent Banking/CBRA section?,Drop down: Yes / No,, ,,,BAML8.18a,5,All,Populate HRR table,,"Conditional on ""Yes"" response to BAML8.18", ,,,6.07,2,All,GDR link,GDR link,, ,,,BAML8.18c,5,High / PCM,Please provide details of their concerns,Free text,"Conditional on ""Yes"" response to BAML8.18", ,,,BAML8.18i,5,PCM & [HR / SCC],Please attach the Bank Enhanced AML Questionnaire,GDR link,, ,,,BAML8.18ii,5,Not [PCM & [High / SCC]],Please attach the Wolfsberg Questionnaire,GDR link,, ,,,BAML8.18iii,5,PCM,Please attach the Customer Base Risk Assessment,GDR link,, ,,,BAML8.18v,5,PCM,"As documented in the Customer Base Risk Assessment, please indicate whether the client has any of the following higher-risk attributes","multi select: Offers Anonymous Accounts / Offers Payable-Through Accounts / Nests FIs / Nests MSBs / Has Internet Gambling Clients / NoneNOTE: For all selections apart from ""None"" the client should automatically be designated as High Risk",, ,,,BAML8.18vi,5,PCM,Populate HRR table,,"Conditional on ""Offers Anonymous Accounts"" or ""Offers Payable-Though Accounts"" response to QBAML8.18v ", ,,,C10a.1,10a,All,Are the Donors named on the Charter/ Legal documentation?,Drop down: Yes / No,"Conditional on ""Donations"" OR ""Grants"" response to QA8.15.", ,,,C10a.2,10a,All,Confirm that Table 2.1a has been completed for for all Classes of Donors/Grantors.,Instruction: Complete Table 2.1a,"Conditional on ""Donations"" OR ""Grants"" response to QA8.15.", ,,,C11a.1,11,All,What is the nature of the projects completed by the Customer and the distribution of funds (%) by project. ,Free text: Describe project type and approximate % distribution of funds by project. ,, ,,,C11a.1a,11,All,What is the class of Beneficiaries? ,Complete Tables 11c as appropriate.,, ,,,C11a.2,11,All,Does the customer rely on Intermediate Beneficiaries to achieve its stated objective?,"Drop down: Yes / NoIf Yes, provide the reason for use of the IB. Free Text",, ,,,C11a.3,11,All,"Identify all Intermediate Beneficiaries entitled to distributions from the organisation, along with their distribution percentage(s) (individuals or entities) and complete Tables 11a & 11b.",Complete Tables 11a & 11b as appropriate.,"Coniditional on ""Yes"" response to QC11a.2", ,,,C11a.4,11,All,"Identify Ulimtate Beneficiaries entitled to 5% or more (where 5% is equals to or exceeds US$10k or equivalent local currency) of the distributions of the organisation, along with their distribution percentage(s) (entities, or individuals) and complete Tables 11d, 11e.","Complete Tables 11d, 11e as appropriate.",, ,,,C13.1,13,All,How are Key Controllers (and/or Managing Members) appointed? ,Free Text Box,, ,,,C13.1.b,13,All,"Has the list of Managing Members been verified, and the information populated in table 4.5?","Drop down: Yes/ NoIf ""No"", complete Table 6 for referral to FCC","Conditional on ""Club & Society"" or ""Professional Body & Association"" or ""Political Party"" or ""Trade Union"" response to QC8.1", ,,,C3a.1,3a,All,"Is the Customer's business focus (more than 25% of donations, disbursements, revenues, purchases, assets held) in a high risk market/ markets?","Drop down: Yes/ No If Yes, complete Table 6 for referral to FCC","Conditional on response other than ""Trade Union"" and ""Political Party"" to QC8.1", ,,,C3a.1a,3a,All,"Does the Customer have any overseas activities (donations, disbursements, revenues, purchases, assets held) in a high risk martket/markets (outside of the country of establishment)?","Drop down: Yes/ No If Yes, complete Table 6 for referral to FCC","Conditional on response ""Trade Union"" to QC8.1", ,,,C3a.1b,3a,All,"Is the Customer's business focus (more than 10% of donations, disbursements, revenues, purchases, assets held) in a high risk market/ markets (outside of the country of establishment)?","Drop down: Yes/ No If Yes, complete Table 6 for referral to FCC","Conditional on response ""Political Party"" to QC8.1", ,,,C4.02.b,4,All,Provide the link to supporting evidence for the Customer's Correspondence address.,Link to document repository,Conditional on information being provided in Q4.02.a, ,,,C7a.4,3e,All,Provide details of any restrictions which have been placed by the regulatory (registration) body on the Customer«s license which limit/restrict the Customer's operations?,Free Text: Details of restrictions,"Conditional on ""Yes"" response to QC7a.1", ,,,C7a.5,3e,All,"If the organisation is not registered or regulated, provide an explanation of why.",Free Text: Explanation of non-registered NPO status,"Conditional on ""No"" response to QC7a.1", ,,,C7a.6,3e,All,Is the organisation involved in humanitarian operations?,Drop down: Yes/No,, ,,,C7a.7,3e,All,Does the organisation apply the standards outlined in the Transparency International report entitled Preventing Corruption in Humanitarian Operations?,Drop down: Yes/No,"Conditional on ""Yes"" response to QC7a.6", ,,,C7a.8,3e,All,Does the Customer have an established internal control structure? Please provide details.,Free Text: Provide details on control structure ,, ,,,C8.1,1,All,What type of NPO is the Customer?,Drop down:CharityNGOReligious OrganisationClub & SocietyProfessional Body & AssociationTrade UnionPolitical Party,, ,,,C8.10,8,All,What is the principal geographic location of the member base?,Drop Down: List of countries Instruction: Complete Table 1.1,"Conditional on ""Club & Society"" or ""Professional Body & Association"" or ""Trade Union"" or ""Political Party"" response to QC8.1", ,,,C8.13a,8,All,Provide detail of any government or state funding provided to the Customer?,Free text: Provide details of government or state funding,, ,,,C8.14,8,All,Does the organisation use volunteers (or plan to use volunteers)?,Drop down: Yes / No,, ,,,C8.15,8,All,What is the purpose of having/using volunteers?,Free Text: Purpose of volunteers,"Conditional on ""Yes"" response to C8.14", ,,,C8.16,8,All,What is the principal geographic location of the volunteer base?,Drop Down: List of countries Instruction: Complete Table 1.1,"Conditional on ""Yes"" response to C8.14", ,,,C8.17,8,All,Are donations received in cash? ,Drop down: Yes/ No,, ,,,C8.18.1,8,All,Approximately how much funds are collected in cash?,Free Text: amount collected ,"Conditional on ""Yes"" response to C8.17", ,,,C8.18a,8,All,What is the maximum value of cash donations accepted?,Free Text: Maximum value of cash donationsN/A - If no maximum value set,"Conditional on ""Yes"" response to C8.17", ,,,C8.19,8,All,What percentage of overall donations are collected in cash?,Free Text: percent ,"Conditional on ""Yes"" response to C8.17", ,,,C8.19a,8,All,Is the use of cash donations in line with HSBC policy?,"Drop down: Yes/NoIf ""No"" Complete Table 6 for escalation to FCC.","Conditional on ""Yes"" response to C8.17", ,,,C8.1a,3e,All,Is the NPO registered as a Charity?,Drop Down: Yes/No,, ,,,C8.2,8,All,"What is the stated mission, aims, and/or objectives of the organisation?","Free Text: Mission, Aim, Objectives",, ,,,C8.2a,8,All,Is Customer incorporated? ,Drop down: Yes/No,, ,,,C8.3,8,All,Does the organisation have aims that may present a reputational risk because of high profile/ media attention?,"Drop down: Yes / NoIf ""Yes"" complete Table 6 for referral to FCC",, ,,,C8.4,8,All,Does the Customer perform a business related activity? ,Drop down: Yes/No,, ,,,C8.6,8,All,What are the customer's key products/services?,Free text: customer's key products,"Conditional on ""Yes"" response to QC8.4", ,,,C8.7,8,All,What is the nature of the membership base?,Free Text: Nature of Membership Base,"Conditional on ""Club & Society"" or ""Professional Body & Association"" or ""Trade Union"" or ""Political Party"" response to QC8.1", ,,,C8.8,8,All,What is the class(es) of Member(s)?,Free Text: Classes of Members,"Conditional on ""Club & Society"" or ""Professional Body & Association"" or ""Trade Union"" or ""Political Party"" response to QC8.1", ,,,C8.9,8,All,What is the approximate number of members?,"Drop Down: Number""0"", ""1-5"", ""6-10"", ""11-20"", ""21-50"", ""51-100"", ""101-500"", ""501-1000"", ""1001-5000"", ""5001-10000"", ""10000+""","Conditional on ""Club & Society"" or ""Professional Body & Association"" or ""Trade Union"" or ""Political Party"" response to QC8.1", ,,,C9.01,9,All,Does the organisation have share capital? ,"Yes/NoIf Yes, Free Text: Provide detail of the use of share capital in ownership structure. If ""Yes"", complete Table 6 for referral to FCC","Conditional on ""Yes"" response to C8.2a", ,,,Cap10,8?,All,What is the Nature of the Parent's / Association's Business (standard industry classification code)?,Check Box: list of standard industry classification codes and descriptions Multiple selection available,"Conditional on ""No"" to Cap43", ,,,Cap14,8?,All,"Describe the nature of the Parent's / Association's business, including its sources of revenues / expected income, key products / services, and where applicable, how the Parent / Association fits into the Group structure.",Free Text: description of nature of business,"Conditional on ""No"" to Cap43", ,,,Cap15,8?,All,Is the Parent's / Association's business or Corporate Group reliant on any one key client for more than 50% of the business activities? ,Drop down: Yes / No,"Conditional on ""No"" to Cap43", ,,,Cap16,8?,All,"What is the Parent's / Association's registered/ ""trading as"" name of the key client?",Free Text: Name,"Conditional on ""Yes"" response to Cap15", ,,,Cap17,8?,All,What industry is the Parent's / Association's key client primarily involved in?,Drop down: list of standard industry classification codes and descriptions ,"Conditional on ""Yes"" response to Cap15", ,,,Cap18,8?,Medium / High / SCC,What are the Parent's / Association's key customer types?,Free Text: Parent's / Association's key client type,"Conditional on ""No"" to Cap43", ,,,Cap19,8?,All,Select the most relevant key financial data for the Parent / Association.,"Check Box: ""Annual revenue"", ""Asset size"", ""Assets Under Management"", ""Other"" (Multiple select available)","Conditional on ""No"" to Cap43", ,,,Cap20,8?,All,What is the Parent's / Association's approximate total annual revenue?,Numeric: Revenue,"Conditional on ""Annual revenue"" response to Cap19", ,,,Cap21,8?,All,What is the Parent's / Association's approximate total asset size?,Numeric: Asset size,"Conditional on ""Asset size"" response to Cap19", ,,,Cap22,8?,All,What is the approximate size of the Parent's / Association's Assets Under Management?,Numeric: AUM,"Conditional on ""Asset Under Management"" response to Cap19", ,,,Cap23,8?,All,"If ""Other"" response selected, provide a description of the Parent's / Association's Key Financial data and its approximate total size.",Free Text: detail of Key Financial data and figure,"Conditional on ""Other"" response to Cap19", ,,,Cap24,8?,All,"Select the source of the Parent's / Association's key financial data from the drop down list provided, and attach the link to the source of information.","Drop down: ""Annual Audited reports and accounts"", ""Unaudited report and accounts"", ""Bank statements"",""Other""Link to document repository","Conditional on ""No"" to Cap43", ,,,Cap25,8,All,"If ""Other"" response selected, provide further details of the source of information.",Free Text: Further details,"Conditional on ""Other"" response to Cap24", ,,,Cap26,8?,All,What is the name of the Parent's / Association's audit or accounting firm?,Free Text: Name of auditing firm or Accountant,"Conditional on ""Annual audited report and accounts"" or ""Unaudited report and accounts"" Response to Cap24", ,,,Cap27,8?,All,In which Country(ies) is the Parent / Association (including all subsidiaries and branches) physically present?,Check Box: list of Countries (Multiple select available)Instruction: Autopopulate Table Cap1.1 with all countries selected if High / SCC,"Conditional on ""No"" to Cap43", ,,,Cap28,8?,High / SCC,"Confirm that table Cap1.1 has been completed for the approximate number of branches, subsidiaries, and local offices, in each Country that the Parent / Association is present.",Drop down: Yes / No,"Conditional on ""No"" to Cap43", ,,,Cap29,8?,All,"Confirm that table Cap1.2 has been completed capturing Countries where purchases, revenues and assets held by the Parent/Association are greater than 10% at either the group or legal entity level.",Drop down: Yes / No,"Conditional on ""No"" to Cap43", ,,,Cap3,1,All,How many members does the Association have?,Free text: Number,"Conditional on ""Association Captive"" response to Cap2", ,,,Cap32,8,All,"Have there been any material changes to the Parent's/Association's business (e.g. Entries into or departures from business types, countries of operation, change of name, change of Customer segments and/ or products/ services) over the past five years or since the last review?",Drop down: Yes / No,"Conditional on ""No"" to Cap43", ,,,Cap33,8,All,Document these significant changes.,Free text: changes to the business,"Conditional on ""Yes"" response to Cap32", ,,,Cap34,8?,All,Do any of the answers given with respect to the Parent's / Association's Nature of Business require escalation to FCC?,"Drop down: Yes / NoIf ""Yes"" complete Table 6 for referral to FCC","Conditional on ""No"" to Cap43", ,,,Cap35,17?,High / SCC,Have financial statements been obtained from the Parent / Association?,"Drop down: Yes / NoIf ""Yes"", provide link to document repository","Conditional on any of the following responses to Cap24: ""Bank statements"", ""Other""", ,,,Cap36,8,High / SCC,"If ""No"" response selected, provide the justification for why financial statements are not available.",Free Text: reasoning for No response,"Conditional on ""No"" response to Cap35", ,,,Cap37,17?,All,What is the Source of Wealth of the Parent's / Association's business?,"Check Box:Intra group financing Business income (accumulated profit / retained earnings)Business loanInvestment by Ultimate Beneficial Owner / Partner Sale of propertyExternal InvestmentOther Multiple Selection availableFree Text: Description of ""Other"" response","Conditional on ""No"" to Cap43", ,,,Cap38,17?,All,Do any of the answers given with respect to the Parent's / Association's SoW require escalation to FCC?,"Drop down: Yes / NoIf ""Yes"" complete Table 6 for referral to FCC","Conditional on ""No"" to Cap43", ,,,Cap4,1,All,Describe the type of members of the Association and membership criteria.,Free Text: Description,"Conditional on ""Association Captive"" response to Cap2", ,,,Cap40,24?,All,Was the address visited the same as the address documented as the Captive's principal business address?,Drop down: Yes / No,"Conditional on ""Captive"" response to Cap39", ,,,Cap41,24?,All,Was the address visited the same as the address documented as the Insurance Manager's principal business address?,Drop down: Yes / No,"Conditional on ""Insurance Manager"" response to Cap39", ,,,Cap43,8?,All,Is the Parent / Association an existing HSBC Customer?,Drop down: Yes / No,, ,,,Cap44,8?,All,List the Parent / Association unique profile number.,Free text: Number.,"Conditional on ""Yes"" to Cap43", ,,,Cap45,1,All,Did the Captive appoint a separate Actuary / Loss Reserve Specialist to provide actuarial advisory?,Drop-down: Yes / No,, ,,,Cap46,1,All,What is the name of the Captive's Actuary / Loss Reserve Specialist?,Free text: Actuary / Loss Reserve Specialsit name,"Conditional on ""Yes"" response to Cap45", ,,,Cap47,1,All,"If ""Other"", provide detail.",Free text: Description,"Conditional on ""Other"" in Cap2", ,,,Cap48,1,All,"If ""Other"", provide detail.",Free text: Description,"Conditional on ""Other"" in Cap37", ,,,Cap49,1,All,Does the Captive use a Fronting Insurer?,Drop-down: Yes / No,, ,,,Cap5,1,All,Did the Captive appoint a separate Insurance Manager to provide insurance management services?,Drop-down: Yes / No,, ,,,Cap50,1,All,What is the name of the Fronting Insurer?,Free text: Fronting Insurer name,"Conditional on ""Yes"" response to Cap49", ,,,Cap51,1,All,Provide a link to document validating the Captive's Insurance Manager's role.,Link to document depository,"Conditional on ""Yes"" to Cap5", ,,,Cap52,1,All,Has the Insurance Manager been subject to ID&V to the standards of their respective Customer type? ,"Drop-down: Yes / NoIf no, escalate to FCC","Conditional on ""Yes"" to Cap5", ,,,Cap6,1,All,What is the name of the Captive's Insurance Manager.,Free text: Insurance Manager name,"Conditional on ""Yes"" response to Cap5", ,,,Cap8,1,All,List the Insurance Manager unique profile number.,Free text: Profile number / Unique identifier.,"Conditional on ""Yes"" response to QCap5", ,,,E1,1,All,Has an Escrow Agreement or equivalent document been obtained for the transaction?,"Drop-down: Yes/ NoIf ""Yes"", link to document repository.If ""No"", please provide an explanation of why there is no relevant document and escalate to local FCC",, ,,,E2c,1,All,Are depositor(s) and recipient(s) of the Escrow Account identified in the Escrow Agreement? ,"Drop-down: Yes/NoIf No, escalate to local FCC",, ,,,E3,1,All,Is at least one of the parties to the Escrow Agreement is an existing Customer?,"Drop-down: Yes/ NoIf ""Yes"", state the full legal name of the existing Customer(s)If ""No"", do not proceed with onboarding.",, ,,,E4,27,All,Has Customer Due Diligence been completed for all parties related to the Escrow Agreement?,"Drop-down: Yes/ NoIf ""Yes"", provide links to each CDD Profile If ""No"", undertake Customer Due Diligence on all parties to the Escrow Agreement.",, ,,,E4a,15,All,Do the CDD profiles of each Party list each other as related parties to the Escrow Agreement?,"Drop-down: Yes/ NoIf ""No"", update the CDD profile of each Party such that each lists all parties to the Escrow Agreement as related parties. ",, ,,,E5,18,All,Describe the rationale for establishment of the Escrow Account and its anticipated activity,Free text,, ,,,E5a,18,All,Is the Escrow Agreement Agency Service the only product/service provided to the Party? ,"Drop down: Yes/ No, for each identified depositor and recipient",, ,,,E6,27,All,List the unique identification number for all related parties.,Free Text,"Conditional on ""Yes"" response to Question E4", ,,,F10.1,10,All,"In the event that the Founder dies, resigns, or (if not a natural person), ceases to exist, to whom do the Founder's rights transferred?",Free Text: Document the partyComplete table 2 for the identified party,"(Question to be prompted more than once if multiple Founders / Donors captured in T9.1 , T9.3b or T9.3b.1). ", ,,,G1,1,All,"Is there a Loan Agreement, Guarantee Agreement or equivalent document for the transaction? ","Drop-down: Yes/NoIf ""Yes"", link to document repositoryIf ""No"", please provide an explanation of why there is no relevant document and escalate to FCC","Conditional on ""Onboarding/Renewal"" response to GQ1", ,,,G1a,1,All,Is the Guarantor role undertaken by an Individual or an Incorporated Entity (or similar without legal personae e.g. a Trust)? ,Drop-down: Individual / Incorporated Entity,, ,,,G5,G,All,"Is the Guarantor consolidated into the same group as the Borrower, or acting as Guarantor for an Individual? ","Drop-down: Yes- Consolidated into same group as the Borrower/Yes- Acting as Guarantor for an Individual/NoIf ""Yes- Acting as Guarantor for an Individual"", record the Guarantor in the Borrower's profile as a Connected Party. ","Conditional on ""No"" response to GQ4 AND ""Incorporated Entity"" response to QG1a", ,,,G6,G,All,Is the Guarantor the ultimate or intermediate parent of the Borrower? ,Drop-down: Yes/No,"Conditional on ""Yes- Consolidated into same group as the Borrower"" response to QG5", ,,,G7,G,All,"Is the Guarantor a government, government agency, state-owned entity or supranational agency?",Drop-down: Yes/No,"Conditional on ""No"" response to QG5", ,,,G7.a,G,All,Provide the details recorded on the Guarantee about the Guarantor (including name and address),Free text,"Conditional on """"No"" OR ""Yes- Acting as Guarantor for an Individual"" response to GQ5"" OR ""Individual"" response to QG1a", ,,,G8,G,All,Is the Guarantor a Connected Party of an existing Customer? ,"Drop-down: Yes/NoIf ""Yes"", no further action required.If ""No"", record the Guarantor in the Borrower's profile as a Connected Party.","Conditional on ""No"" response to GQ4 AND ""Individual"" response to QG1a", ,,,G9,G,All,Confirm that full Customer Due Diligence has been completed for the Guarantor.,"Drop-down: Yes/NoIf ""No"", escalate to FCC","Conditional on ""Notification that the the guarantee has been called upon"" response to GQ1 AND (""Yes- consolidated into same group as the Borrower"" response to GQ5 OR [""No"" response to GQ5 AND ""Individual"" response to QG1a])", ,,,Gaming Operations 1.1,1,All,Does the Customer provide remote Gaming Services and Activities through the internet? ,Drop down: Yes / No,"Conditional on either ""Yes - Direct"" or ""Yes - Both Direct & Indirect"" response to Corp & Part 8.07 or Sole Traders 8.07; OR ""Yes"" response to Gaming Operations 1.15", ,,,Gaming Operations 1.10,1,All,Does the Customer provide manufacture or provide gaming equipment to Gaming businesses? ,Drop down: Yes / No,"Conditional on either ""Yes - Indirect"" or ""Yes - Both Direct & Indirect"" response to Corp & Part 8.07 or Sole Traders 8.07 AND ""No"" response to Gaming Operations 1.2", ,,,Gaming Operations 1.13,1,All,Is the provision or manufacture of gaming equipment identifiable and material to the Customer?,Drop down: Yes / No,"Conditional on ""Yes"" response to Gaming Operations 1.10", ,,,Gaming Operations 1.14a,1,All,Are Gaming Operators part of the Customer's group? ,Drop down: Yes / No,"Conditional on either ""Yes - Indirect"" or ""Yes - Both Direct & Indirect"" response to Corp & Part 8.07 or Sole Traders 8.07; ANDConditional on a response of either ""Ultimate Parent"", ""Subsidiary"", ""Branch"" or ""Joint Venture"" to Corp & Part Q1.10", ,,,Gaming Operations 1.15,1,All,Is the Gaming Operator Significant to the Customer or Customer's group (if applicable)?,Drop down: Yes / No,"Conditional on ""Yes"" response to either Gaming Operations 1.14 or Gaming Operations 1.14a", ,,,Gaming Operations 1.1a,1,All,Customer is Prohibited (Category 2: Online gaming activities or Online gaming related goods or services). Escalate to FCC.(Exception subject to the approval of the applicable Global Business Reputational Risk and Client Selection Committee),Complete Table 6 for referral to FCC,"Conditional on either: ""Yes"" response to Gaming Operations 1.1 or ""Yes"" response to Gaming Operation 1.2 ", ,,,Gaming Operations 1.1b,1,All,Please follow the standard due diligence requirements for Corporates and Partnerships,Instruction,"Conditional on ""Yes"" response to Gaming Operations 1.8a, 1.8c, 1.8d1, 1.8e or 1.8f", ,,,Gaming Operations 1.1c,1,All,Has the Financial Crime risk presented by the Customer's Gaming Activity been assessed as negligible?,"Drop down: Yes / No If ""No"" response, contact local FCC team. ","Conditional on ""Yes"" response to Gaming Operations 1.15 OR ""Yes - Direct"" or ""Yes - Both Direct or Indirect"" response to Corp & Part 8.07 or Sole Traders 8.07; AND ""No"" response to Gaming Operations 1.1 and ""No"" response to Gaming Operations 1.2; AND ""No"" response to Gaming Operations 1.8a, 1.8c, 1.8d, 1.8e and 1.8f", ,,,Gaming Operations 1.2,1,All,Is the Customer's main source of revenue from either the development of gaming software or hosting environments? ,Drop down: Yes / No,"Conditional on either ""Yes - Indirect"" or ""Yes - Both Direct & Indirect"" response to Corp & Part 8.07 or Sole Traders 8.07", ,,,Gaming Operations 1.6,1,All,What Gambling Activity is conducted by the Customer? ,Check box: From list of activities (Multi-select available)- Casino operator - Bookmaker - Spread betting firm- Operator of Bingo Halls- Operator of Slot Machines- Private Operator of Lotteries - Betting Syndicate- Private Gaming Club- Operator of Gaming machines on Arcade premises- Operator of Gaming machines in Amusement Parks- Junket Operation- High street betting shop or firm - Operator of teletheatres or off-track betting- Provision of tote services- Charitable Gaming Operator- State Operated Lottery- State Licensed Monopoly Gaming Business- Gaming activity conducted at sea or through aviation- A business which requires a license for the gaming activity other than those listed- Other ,"""Conditional on ""Yes"" response to Gaming Operations 1.15""; OR ""Yes - Direct"" or ""Yes - Both Direct & Indirect"" response to Corp & Part 8.07 or Sole Traders 8.07; AND ""No"" response to Gaming Operations 1.1 AND ""No"" response to Gaming Operations 1.2", ,,,Gaming Operations 1.6a,1,All,Detail the Gambling Activity conducted by the Customer. ,Free text,"Conditional on either ""Other"" or ""A business which requires a license for the gaming activity other than those listed"" response to Gaming Operations 1.6", ,,,Gaming Operations 1.7,1,All,"Estimate the Customer's Profit Before Tax (""PBT"") attributable to Gaming Activity",Drop down: From list of currencies Free text: Amount in stated currency,"""Conditional on ""Yes"" response to Gaming Operations 1.15""; OR ""Yes - Direct"" or ""Yes - Both Direct & Indirect"" response to Corp & Part 8.07 or Sole Traders 8.07; AND ""No"" response to Gaming Operations 1.1 AND ""No"" response to Gaming Operations 1.2", ,,,Gaming Operations 1.7a,1,All,Estimate the Customer's Revenue attributable to Gaming Activity,Drop down: From list of currencies Free text: Amount in stated currency,"""Conditional on ""Yes"" response to Gaming Operations 1.15""; OR ""Yes - Direct"" or ""Yes - Both Direct & Indirect"" response to Corp & Part 8.07 or Sole Traders 8.07; AND ""No"" response to Gaming Operations 1.1 AND ""No"" response to Gaming Operations 1.2", ,,,Gaming Operations 1.8a,1,All,Is the Customer's Gaming Activity restricted only to operating low stake Bingo Halls? ,Drop down: Yes / No,"Conditional on only ""Operator of Bingo Halls"" response to Gaming Operations 1.6 ", ,,,Gaming Operations 1.8b,1,All,Is the Customer's Gaming Activity restricted only to small scale operations or Society Lotteries marketed to a closed customer base?,Drop down: Yes / No,"Conditional on only ""Private Operator of Lotteries "" response to Gaming Operations 1.6 ", ,,,Gaming Operations 1.8c,1,All,Is this activity the CustomerÕs principal trading activity?,Drop down: Yes / No,"Conditional on ""Yes"" response to Gaming Operations 1.8b ", ,,,Gaming Operations 1.8d,1,All,Is the Customer's gaming license included as part of another license?,Drop down: Yes / No,"Conditional on either ""Other"" or ""A business which requires a license for the gaming activity other than those listed""response to Gaming Operations 1.6", ,,,Gaming Operations 1.8d1,1,All,Are winnings (under licensed gaming activity) limited to a low or nominal value? ,Drop down: Yes / No,"Conditional on ""Yes"" response to Gaming Operations 1.8d", ,,,Gaming Operations 1.8e,1,All,Is the Customer's Gaming Activity restricted to operating a small number of low stake gambling machines at each of the Customer's gaming locations? ,Drop down: Yes / No,"Conditional on either ""Other"" or ""A business which requires a license for the gaming activity other than those listed""response to Gaming Operations 1.6 ", ,,,Gaming Operations 1.8f,1,All,Is the Customer's Gaming Activity restricted to small scale slot machine gaming arcades which only operate low value gambling machines?,Drop down: Yes / No,"Conditional on only ""Operator of gaming machines in Amusement Parks"" or only ""Operator of gaming machines on Arcade premises"" response to Gaming Operations 1.6", ,,,Gaming Operations 1.9,1,All,Customer is Prohibited (Category 1: Land-based gaming activities and services). Escalate to FCC.(Exception subject to the approval of the applicable Global Business Reputational Risk and Client Selection Committee),Complete Table 6 for referral to FCC,"Conditional on response to Gaming Operations 1.6 including ""Betting Syndicate"" or ""Junket Operations"" or ""State Operated Lottery"" or ""State Licensed Monopoly Gaming Business""", ,,,Gaming Operations 2.0,2,All,Is the Customer's Gaming Activity conducted exclusively at sea or through aviation? ,Drop down: Yes / No,"Conditional on response to Gaming Operations 1.6 not including ""State Operated Lottery"" or ""State Licensed Monopoly Gaming Business"" or ""Betting Syndicate"" or ""Junkets""; AND ""No"" responses (or N/A) to Gaming Operations 1.8a; 1.8c; 1.8d1; 1.8e and 1.8f; AND""No"" response to Gaming Operations 1.1c", ,,,Gaming Operations 2.0a,2,All,Escalate to FCC.,Complete Table 6 for referral to FCC,"Conditional on ""Yes"" response to Gaming Operations 2.0", ,,,Gaming Operations 2.1,2,All,Is the Customer regulated/licensed by a local Gaming Board or other comparable governing authority?,Drop down: Yes / No,"Conditional on ""No"" response to Gaming Operations 2.0 ", ,,,Gaming Operations 2.11,2,All,"Does the Customer have any operations in high-risk countries, as defined by the FCC-RAM?",Auto-populated: Yes / No[Determined by response to Corp & Part 8.10 or Sole Traders 8.10),"Conditional on alignment between responses to A2.1a2 and Corp & Part 8.10 or Sole Traders 8.10; AND ""Yes"" or ""N/A"" response to Gaming Operations 2.1", ,,,Gaming Operations 2.11a,2,All,"Does the Customer hold any investments in high-risk countries, as defined by the FCC-RAM?",Drop down: Yes / No[Guidance: NB. Informed by information obtained in response to Corp & Part Q8.01],"Conditional on alignment between responses to A2.1a2 and Corp & Part 8.10 or Sole Traders 8.10; AND ""Yes"" or ""N/A"" response to Gaming Operations 2.1", ,,,Gaming Operations 2.11a2,2,All,Customer is Prohibited (Category 1: Land-based gaming activities and services with links to high-risk jurisdictions). Escalate to FCC.(Exception subject to the approval of the applicable Global Business Reputational Risk and Client Selection Committee),Complete Table 6 for referral to FCC,"Conditional on ""Yes"" response to Gaming Operations 2.11 OR ""Yes"" response to Gaming Operations 2.11a OR A High risk country included within the countries listed within the response to Corp & Part or Sole Trader Table 1.2 'Country Trading Counterparts' (as part of Corp & Part QA8.3)", ,,,Gaming Operations 2.12,2,All,Has the Customer requested PCM services?,Auto-populated: Yes / No,"Applicability:Conditional on alignment between responses to A2.1a2 and Corp & Part 8.10 or Sole Traders 8.10; AND ""Yes"" or ""N/A"" response to Gaming Operations 2.1; AND""No"" response to Gaming Operations 2.11 AND ""No"" response to Gaming Operations 2.11a AND no high-risk country is included within the countries listed within the response to Corp & Part or Sole Trader Table 1.2 'Country Trading Counterparts' (as part of Corp & Part QA8.3)Response: Conditional on ""PCM"" contained within Corp & Part Product Table 7.1 ", ,,,Gaming Operations 2.12a,2,All,The provision of PCM services is prohibited and only permissible subject to the approval of the applicable Global Business Reputational Risk Committee and Client Selection Committee. ,Instruction,"Conditional on ""Yes"" response to Gaming Operations 2.12", ,,,Gaming Operations 2.1a4,2,All,Obtain and verify evidence of the regulated/licensed status of the Gaming Business.,Provide link to document repository,"Conditional on ""Yes"" response to Gaming Operations 2.1", ,,,Gaming Operations 2.1a5,2,All,Are there any limitations to the license?,Drop down: Yes / No,"Conditional on ""Yes"" response to Gaming Operations 2.1", ,,,Gaming Operations 2.1b,2,All,Customer is Prohibited (Category 1: Land-based gaming activities and services that are not regulated or licensed). Escalate to FCC.(Exception subject to the approval of the applicable Global Business Reputational Risk and Client Selection Committee),Complete Table 6 for referral to FCC,"Conditional on ""No"" response to Gaming Operations 2.1", ,,,Gaming Operations 2.1c,2,All,Does the regulating/licensing authority monitor Compliance with applicable AML legislation?,Drop down: Yes / No,"Conditional on ""Yes"" response to Gaming Operations 2.1", ,,,Gaming Operations 2.2,2,All,From which countries does the Customer accept clients?,Check box: From list of countries (Multi-select available),"Conditional on alignment between responses to A2.1a2 and Corp & Part 8.10 or Sole Traders 8.10; AND ""Yes"" or ""N/A"" response to Gaming Operations 2.1; AND""No"" response to Gaming Operations 2.11 AND ""No"" response to Gaming Operations 2.11a AND no high-risk country is included within the countries listed within the response to Corp & Part or Sole Trader Table 1.2 'Country Trading Counterparts' (as part of Corp & Part QA8.3)", ,,,Gaming Operations 2.3,2,All,Does the Customer permit payments to be made to a different account from the one which funded the bet?,Drop down: Yes / No,"Conditional on alignment between responses to A2.1a2 and Corp & Part 8.10 or Sole Traders 8.10; AND ""Yes"" or ""N/A"" response to Gaming Operations 2.1; AND""No"" response to Gaming Operations 2.11 AND ""No"" response to Gaming Operations 2.11a AND no high-risk country is included within the countries listed within the response to Corp & Part or Sole Trader Table 1.2 'Country Trading Counterparts' (as part of Corp & Part QA8.3)", ,,,Gaming Operations 2.4,2,All,Are there any limits applied regarding the amount/frequency of bets?,Drop down: Yes / No,"Conditional on alignment between responses to A2.1a2 and Corp & Part 8.10 or Sole Traders 8.10; AND ""Yes"" or ""N/A"" response to Gaming Operations 2.1; AND""No"" response to Gaming Operations 2.11 AND ""No"" response to Gaming Operations 2.11a AND no high-risk country is included within the countries listed within the response to Corp & Part or Sole Trader Table 1.2 'Country Trading Counterparts' (as part of Corp & Part QA8.3)", ,,,Gaming Operations 2.4a,2,All,Please provide details of these limits and summarise how they are applied.,Free text,"Conditional on ""Yes"" response to Gaming Operations 2.4", ,,,Gaming Operations 2.5,2,All,Are there any intermediaries used in financial processes? (e.g. payment facilitators).,Drop down: Yes / No,"Conditional on alignment between responses to A2.1a2 and Corp & Part 8.10 or Sole Traders 8.10; AND ""Yes"" or ""N/A"" response to Gaming Operations 2.1; AND""No"" response to Gaming Operations 2.11 AND ""No"" response to Gaming Operations 2.11a AND no high-risk country is included within the countries listed within the response to Corp & Part or Sole Trader Table 1.2 'Country Trading Counterparts' (as part of Corp & Part QA8.3)", ,,,Gaming Operations 2.5a,2,All,Please provide details of these intermediaries.,Free text,"Conditional on ""Yes"" response to Gaming Operations 2.5", ,,,Gaming Operations 2.6,2,All,Does the Customer permit patron to patron fund transfers?,Drop down: Yes / No,"Conditional on alignment between responses to A2.1a2 and Corp & Part 8.10 or Sole Traders 8.10; AND ""Yes"" or ""N/A"" response to Gaming Operations 2.1; AND""No"" response to Gaming Operations 2.11 AND ""No"" response to Gaming Operations 2.11a AND no high-risk country is included within the countries listed within the response to Corp & Part or Sole Trader Table 1.2 'Country Trading Counterparts' (as part of Corp & Part QA8.3)", ,,,Gaming Operations 2.6a,2,All,What is the approximate average turnover per client? ,Drop down: From list of currencies Free text: Amount in stated currency,"Conditional on alignment between responses to A2.1a2 and Corp & Part 8.10 or Sole Traders 8.10; AND ""Yes"" or ""N/A"" response to Gaming Operations 2.1; AND""No"" response to Gaming Operations 2.11 AND ""No"" response to Gaming Operations 2.11a AND no high-risk country is included within the countries listed within the response to Corp & Part or Sole Trader Table 1.2 'Country Trading Counterparts' (as part of Corp & Part QA8.3)", ,,,Gaming Operations 2.6b,2,All,Does the Customer monitor client's activity versus an expected activity profile? (i.e. is monitoring focussed on the Customer's most active clients?),Drop down: Yes / No,"Conditional on alignment between responses to A2.1a2 and Corp & Part 8.10 or Sole Traders 8.10; AND ""Yes"" or ""N/A"" response to Gaming Operations 2.1; AND""No"" response to Gaming Operations 2.11 AND ""No"" response to Gaming Operations 2.11a AND no high-risk country is included within the countries listed within the response to Corp & Part or Sole Trader Table 1.2 'Country Trading Counterparts' (as part of Corp & Part QA8.3)", ,,,Gaming Operations 3.1,3,All,How many gaming clients does the Customer have?,Drop down: 0-10 / 10-50 / 50-100 / 100+,"Conditional on ""Yes"" response to Gaming Operations 1.13 ", ,,,Gaming Operations 3.2,3,All,"What is the approximate portion of revenue contributed by each of the Customer's top ten (or all if less than ten) gaming clients, considered against the Customer's total revenue?",Free text,"Conditional on ""Yes"" response to Gaming Operations 1.13 ", ,,,Gaming Operations 3.3,3,All,Are any of the Customer's Key Controllers or Beneficial Owners related to the Customer's gaming clients?,Drop down: Yes - Key Controllers / Yes - Beneficial Owners / Yes - Both / No,"Conditional on ""Yes"" response to Gaming Operations 1.13 ", ,,,Gaming Operations 3.3a,3,All,Summarise the relationship(s).,Free text,"Conditional on ""Yes - Key Controllers"" or ""Yes - Beneficial Owners"" or ""Yes - Both"" response to Gaming Operations 3.3", ,,,Gaming Operations 3.4,3,All,What is the nature of the gaming products provided by the Customer?,Free text,"Conditional on ""Yes"" response to Gaming Operations 1.13 ", ,,,Gaming Operations 3.5,3,All,In which countries are the gaming clients of the Customer based?,Check box: From list of countries (Multi-select available),"Conditional on ""Yes"" response to Gaming Operations 1.13 ", ,,,Gaming Operations 3.6,3,All,"Are these high-risk countries, as defined by the FCC-RAM?",Auto-populated: Yes / No,"Conditional on ""Multi-select"" response to Gaming Operations 3.5", ,,,Gaming Operations 3.6a,3,All,"Does the Customer have an Anti-Bribery and Corruption (""ABC"") Policy and/or Procedure?",Drop down: Yes / No,"Conditional on ""Yes"" response to Gaming Operations 1.13 ", ,,,Gaming Operations 3.6b,2,All,Escalate to FCC.,Complete Table 6 for referral to FCC,"Conditional on ""Yes"" response to Gaming Operations 3.6", ,,,Gaming Operations 3.7,3,All,Are the Customer's clients regulated/licensed by a local gaming board or other comparable governing authority?,Drop down: Yes / No,"Conditional on ""Yes"" response to Gaming Operations 1.13 ", ,,,Gaming Operations 3.8,2,All,Has the Customer requested PCM services?,Auto-populated: Yes / No,"ApplicabilityConditional on ""Yes"" response to Gaming Operations 1.13 Response: Conditional on ""PCM"" contained within Corp & Part Product Table 7.1 ", ,,,Gaming Operations 3.8a,3,All,The provision of PCM services is prohibited and only permissible subject to the approval of the applicable Global Business Reputational Risk Committee and Client Selection Committee. Escalate accordingly.,Instruction,"Conditional on ""Yes"" response to Gaming Operations 3.8", ,,,Gaming Operations 3.9,3,All,Is the Customer a supplier of goods or services to a State Lottery or a State Licensed Monopoly Gaming Business?,Drop down: Yes / No ,"Conditional on ""Yes"" response to Gaming Operations 1.13 ", ,,,Gaming Operations 3.9a,3,All,Please contact the Global Business Reputation Risk Committee/Client Selection Committee for approval.,Instruction,"Conditional on "" ""Yes"" response to Gaming Operations 3.9", ,,,Gaming Operations 4.10,4,All,Obtain the most recent findings of any independent testing of the Gaming Business's AML Programme,Provide link to document repository,"Conditional on alignment between responses to A2.1a2 and Corp & Part 8.10 or Sole Traders 8.10; AND ""Yes"" or ""N/A"" response to Gaming Operations 2.1; AND""No"" response to Gaming Operations 2.11 AND ""No"" response to Gaming Operations 2.11a AND no high-risk country is included within the countries listed within the response to Corp & Part or Sole Trader Table 1.2 'Country Trading Counterparts' (as part of Corp & Part QA8.3)", ,,,Gaming Operations 4.10a,4,All,"Does the Customer operate an independent audit function which assesses the Customer's AML Policy, Procedures and Controls on a regular basis? ",Drop down: Yes / No,"Conditional on alignment between responses to A2.1a2 and Corp & Part 8.10 or Sole Traders 8.10; AND ""Yes"" or ""N/A"" response to Gaming Operations 2.1; AND""No"" response to Gaming Operations 2.11 AND ""No"" response to Gaming Operations 2.11a AND no high-risk country is included within the countries listed within the response to Corp & Part or Sole Trader Table 1.2 'Country Trading Counterparts' (as part of Corp & Part QA8.3)", ,,,Gaming Operations 4.2,4,All,Summarise the Customer's identification and verification procedures which identify and verify customers,Free text,"Conditional on alignment between responses to A2.1a2 and Corp & Part 8.10 or Sole Traders 8.10; AND ""Yes"" or ""N/A"" response to Gaming Operations 2.1; AND""No"" response to Gaming Operations 2.11 AND ""No"" response to Gaming Operations 2.11a AND no high-risk country is included within the countries listed within the response to Corp & Part or Sole Trader Table 1.2 'Country Trading Counterparts' (as part of Corp & Part QA8.3)", ,,,Gaming Operations 4.3,4,All,Does the Customer keep CDD Customer Transaction history records for at least 5 years after the end of a client relationship?,Drop down: Yes / No ,"Conditional on alignment between responses to A2.1a2 and Corp & Part 8.10 or Sole Traders 8.10; AND ""Yes"" or ""N/A"" response to Gaming Operations 2.1; AND""No"" response to Gaming Operations 2.11 AND ""No"" response to Gaming Operations 2.11a AND no high-risk country is included within the countries listed within the response to Corp & Part or Sole Trader Table 1.2 'Country Trading Counterparts' (as part of Corp & Part QA8.3)", ,,,Gaming Operations 4.4,4,All,Detail the controls that the Customer has in place to govern the use of any currency transaction facilities/services.,Free text,"Conditional on alignment between responses to A2.1a2 and Corp & Part 8.10 or Sole Traders 8.10; AND ""Yes"" or ""N/A"" response to Gaming Operations 2.1; AND""No"" response to Gaming Operations 2.11 AND ""No"" response to Gaming Operations 2.11a AND no high-risk country is included within the countries listed within the response to Corp & Part or Sole Trader Table 1.2 'Country Trading Counterparts' (as part of Corp & Part QA8.3)", ,,,Gaming Operations 4.5,4,All,Detail the employee training provided by the Customer in respect of AML.,Free text,"Conditional on alignment between responses to A2.1a2 and Corp & Part 8.10 or Sole Traders 8.10; AND ""Yes"" or ""N/A"" response to Gaming Operations 2.1; AND""No"" response to Gaming Operations 2.11 AND ""No"" response to Gaming Operations 2.11a AND no high-risk country is included within the countries listed within the response to Corp & Part or Sole Trader Table 1.2 'Country Trading Counterparts' (as part of Corp & Part QA8.3)", ,,,Gaming Operations 4.6,4,All,Who is the Customer's Money Laundering Reporting Officer (MLRO) or designated officer responsible for their AML Programme?,Free text,"Conditional on alignment between responses to A2.1a2 and Corp & Part 8.10 or Sole Traders 8.10; AND ""Yes"" or ""N/A"" response to Gaming Operations 2.1; AND""No"" response to Gaming Operations 2.11 AND ""No"" response to Gaming Operations 2.11a AND no high-risk country is included within the countries listed within the response to Corp & Part or Sole Trader Table 1.2 'Country Trading Counterparts' (as part of Corp & Part QA8.3)", ,,,Gaming Operations 4.6a,4,All,Is the Customer's AML Programme adequately resourced in proportion to their business?,Drop down: Yes / No ,"Conditional on alignment between responses to A2.1a2 and Corp & Part 8.10 or Sole Traders 8.10; AND ""Yes"" or ""N/A"" response to Gaming Operations 2.1; AND""No"" response to Gaming Operations 2.11 AND ""No"" response to Gaming Operations 2.11a AND no high-risk country is included within the countries listed within the response to Corp & Part or Sole Trader Table 1.2 'Country Trading Counterparts' (as part of Corp & Part QA8.3)", ,,,Gaming Operations 4.7,4,All,What type of monitoring systems does the Customer have in place to detect unusual client behaviour and suspicious activity?,Free text,"Conditional on alignment between responses to A2.1a2 and Corp & Part 8.10 or Sole Traders 8.10; AND ""Yes"" or ""N/A"" response to Gaming Operations 2.1; AND""No"" response to Gaming Operations 2.11 AND ""No"" response to Gaming Operations 2.11a AND no high-risk country is included within the countries listed within the response to Corp & Part or Sole Trader Table 1.2 'Country Trading Counterparts' (as part of Corp & Part QA8.3)", ,,,Gaming Operations 4.8,4,All,To which authorities does the Customer report suspicious transactions?,Free text,"Conditional on alignment between responses to A2.1a2 and Corp & Part 8.10 or Sole Traders 8.10; AND ""Yes"" or ""N/A"" response to Gaming Operations 2.1; AND""No"" response to Gaming Operations 2.11 AND ""No"" response to Gaming Operations 2.11a AND no high-risk country is included within the countries listed within the response to Corp & Part or Sole Trader Table 1.2 'Country Trading Counterparts' (as part of Corp & Part QA8.3)", ,,,Gaming Operations 4.8a,4,All,"On average, how many suspicious transaction reports are made each month?",Free text,"Conditional on alignment between responses to A2.1a2 and Corp & Part 8.10 or Sole Traders 8.10; AND ""Yes"" or ""N/A"" response to Gaming Operations 2.1; AND""No"" response to Gaming Operations 2.11 AND ""No"" response to Gaming Operations 2.11a AND no high-risk country is included within the countries listed within the response to Corp & Part or Sole Trader Table 1.2 'Country Trading Counterparts' (as part of Corp & Part QA8.3)", ,,,Gaming Operations 4.9,4,All,Against which terrorist/sanction lists does the Customer screen its clients?,Free text,"Conditional on alignment between responses to A2.1a2 and Corp & Part 8.10 or Sole Traders 8.10; AND ""Yes"" or ""N/A"" response to Gaming Operations 2.1; AND""No"" response to Gaming Operations 2.11 AND ""No"" response to Gaming Operations 2.11a AND no high-risk country is included within the countries listed within the response to Corp & Part or Sole Trader Table 1.2 'Country Trading Counterparts' (as part of Corp & Part QA8.3)", ,,,Gaming Operations A2.1a2,2,All,In which country(ies) has the Customer requested to open accounts?,Auto-populate [Guidance: NB. Auto-populated with reference to data obtained in the response to Corp & Part or Sole Trader QA23.3 and the associated product tables 7.1 and 7.2],"""Yes"" or ""N/A"" response to Gaming Operations 2.1", ,,,Gaming Operations B2.1a2,2,All,Customer is Prohibited (Category 1: Land-based gaming activities and services with accounts outside the country(ies) of operation). Escalate to FCC. (Exception subject to the approval of the applicable Global Business Reputational Risk Committee and Client Selection Committee. ),Complete Table 6 for referral to FCC,"Conditional on misalignment between ""Check Box"" responses to Gaming Operations A2.1a2 and ""Check Box"" responses to Corp & Part 8.10 or Sole Traders 8.10", ,,,Gaming Operations b2.1a5,2,All,Please provide details of these limitations.,Free text,"Conditional on ""Yes"" response to Gaming Operations 2.1a5", ,,,GSB 1,1,All,What is the nature of the GSB? ,"Drop down: State-owned/controlled Bank, State-owned/controlled Corporate, State-owned/controlled NBFI, Central Bank, National Government Body, Local Government Body, Diplomatic Office, Embassy, High Commission, Consulate/Consular office, Trade Mission, Military AttachŽ, Sovereign Wealth Fund, Supranational, Specialised Government Bank, Other",, ,,,GSB 10a,8,High/ SCC,Provide details of the objective and aims of the Customer,Free text,"Conditional on response other than ""State-owned/controlled Bank"", ""State-owned/controlled Corporate"", or ""State-owned/controlled FI"" to GSB Q1", ,,,GSB 10b,8,SCC,Provide details of the frequency and method of funding of the Customer,Free Text/ N/A,"Conditional on ""Embassy"", ""High Commission"", ""Consulate/Consular office"", ""Trade Mission"", ""Diplomatic Office"", or ""Military AttachŽ"" response to GSB Q1", ,,,GSB 10c,8,High/ SCC,List all countries in which the Customer operates (indicating countries of major operation and of disbursement of funds),Free text,"Conditional on response other than ""State-owned/controlled Bank"", ""State-owned/controlled Corporate"", or ""State-owned/controlled FI"" to GSB Q1", ,,,GSB 10d,8,High/ SCC,"Provide details of the Customer's client base, including the names of any key or significant clients ",Free Text,"Conditional on response other than ""Embassy"", ""High Commission"", ""Consulate/Consular office"", ""Trade Mission"", ""Diplomatic Office"", or ""Military AttachŽ"" to GSB Q1", ,,,GSB 11a,8,SCC,"Provide details of property/locations owned or rented by the Customer, including their address(es)",Free Text,"Conditional on ""Embassy"", ""High Commission"", ""Consulate/Consular office"", ""Trade Mission"", ""Diplomatic Office"", or ""Military AttachŽ"" response to GSB Q1", ,,,GSB 11b,8,SCC,Provide a description of the structure of the Embassy,Free text,"Conditional on ""Embassy"", ""High Commission"", ""Consulate/Consular office"", ""Trade Mission"", ""Diplomatic Office"", or ""Military AttachŽ"" response to GSB Q1", ,,,GSB 12,8,SCC,"Provide details of the Customer's typical salary bill, including total value, details of the payment method used and the frequency of payments made",Free text,"Conditional on ""Embassy"", ""High Commission"", ""Consulate/Consular office"", ""Trade Mission"", ""Diplomatic Office"", or ""Military AttachŽ"" response to GSB Q1", ,,,GSB 12a,8,SCC,Record the estimated annual income from consular fees and services (in USD),Free text: Number,"Conditional on ""Consulate/Consular office"" response to GSB Q1", ,,,GSB 13b,13,SCC,"Has the list of Key Controllers been verified, and the information populated in table 4.5?","Drop Down: Yes/ NoIf ""No"", complete Table 6 for referral to FCC","Conditional on ""Embassy"", ""High Commission"", ""Consulate/Consular office"", ""Trade Mission"", ""Diplomatic Office"", or ""Military AttachŽ"" response to GSB Q1", ,,,GSB 14,13,All,Confirm that Table 4.6 has been completed for all accounts operating under sole signatory,"Drop-down: Yes/NoInstruction: Complete GSB Table 4.6If ""No"", complete Table 6 for referral to FCC","Conditional on ""Yes"" response to core QA13.1 AND response other than ""State-owned/controlled Bank"", ""State-owned/controlled Corporate"", or ""State-owned/controlled FI"" to GSB Q1", ,,,GSB 15,13,SCC,"Has the full name, date of birth, position/title and business address of at least two Key Controllers been verified with the supporting evidence added to the Key Controllers table?","Drop-down: Yes/NoInstruction: Complete GSB Table 4.4If ""No"", complete Table 6 for referral to FCC","Conditional on ""Yes"" response to GSB Q13 AND ""Embassy"", ""High Commission"", ""Consulate/Consular office"", ""Trade Mission"", ""Diplomatic Office"", or ""Military AttachŽ"" response to GSB Q1", ,,,GSB 16f,18,SCC,"Do the Customer's cash requirements exceed $10,000 per month? ",Drop down: Yes/No,"Conditional on ""Embassy"", ""High Commission"", ""Consulate/Consular office"", ""Trade Mission"", ""Diplomatic Office"", or ""Military AttachŽ"" response to GSB Q1", ,,,GSB 16g,18,SCC,Has written validation of the purpose of the Customer's cash requirements been obtained? ,"Drop down: Yes/NoIf ""Yes"", link to document repositoryIf ""No"", complete Table 6 for referral to FCC","Conditional on ""Yes"" response to Q16f", ,,,GSB 17a,22,All,How is the Customer's jurisdiction addressing or how does it intend to address the strategic AML/CTF deficiencies?,Free Text,"Conditional on ""Yes"" response to GSB Q17a.ii AND ""Central Bank"" response to GSB Q1", ,,,GSB 17a.i,22,All,Has a mutual evaluation been conducted by FATF or the FATF-style regional bodies (FSRBs) on the Customer's country of primary operation? ,Free Text,"Conditional on ""Yes"" response to GSB Q17a.ii ", ,,,GSB 17a.ii,22,All,"Describe the FATF AML/CTF strategic deficiencies of the Customer's country of incorporation/formation, the resulting risks and any mitigants.",Autopopulate: Yes/No,, ,,,GSB 17b,5,All,Does the Country of Incorporation/formation have FATF AML/CTF strategic deficiency status or is it subject to FATF counter measures?,Drop down: Yes/NoAuto-populated: look-up of country against list of countries where a mutual evaluation has been performed,"Conditional on ""Central Bank"" response to GSB Q1", ,,,GSB 17c,22,All,Is the Customer the AML regulator for the jurisdiction in which it is located? ,Drop-down: Yes/No,"Conditional on ""Yes"" response to GSB Q17a.ii OR ""No"" response to GSB Q17b", ,,,GSB 17c.i,22,All,Does the Customer have an AML Compliance function?,Drop-down: Yes/No,"Conditional on ""No"" response to GSB Q17c", ,,,GSB 17c.ii,22,All,"Confirm and describe how anti-money laundering policy, procedures and controls in place are communicated and enforced effectively by the Customer",Yes- Free Text/ No,"Conditional on ""No"" response to GSB Q17c", ,,,GSB 17c.iii,22,All,Confirm and describe the Customer's processes for the identification and due diligence of its clients,Yes-Free Text/ No,"Conditional on ""No"" response to GSB Q17c", ,,,GSB 17c.iv,22,All,"Does the Customer have policies and procedures designed to ensure due diligence and where appropriate, enhanced due diligence, is performed on relationships with Politically Exposed Persons (PEPs), their family members and close associates? If Yes, describe the policies and procedures.",Yes-Free Text/ No,"Conditional on ""No"" response to GSB Q17c", ,,,GSB 17c.v,22,All,"Does the Customer screen clients and transactions against lists of persons, entities or countries issued by government/competent authorities, when initially on-boarding and regularly throughout a continuing relationship? If Yes, describe how.",Yes-Free Text/ No,"Conditional on ""No"" response to GSB Q17c", ,,,GSB 17c.vi,22,All,"Does the Customer have processes to detect, investigate and report suspicious activity to the appropriate authorities?",Drop-down: Yes/No,"Conditional on ""No"" response to GSB Q17c", ,,,GSB 17c.vii,22,All,Does the Customer train key personnel with respect to anti-money laundering and sanctions compliance?,Drop-down: Yes/No,"Conditional on ""No"" response to GSB Q17c", ,,,GSB 17d. Vii,22,All,"Does the Customer enforce AML requirements in the jurisdiction regarding the training of key personnel with respect to anti-money laundering and sanctions compliance? If Yes, describe how.",Drop-down: Yes/No,"Conditional on ""Yes"" response to GSB Q17c", ,,,GSB 17d.i,22,All,How long has the Customer acted as the AML regulator for the jurisdiction in which it is located (to the nearest year)?,Free text: Number,"Conditional on ""Yes"" response to GSB Q17c ", ,,,GSB 17d.ii,22,All,"Does the Customer communicate and enforce the anti-money laundering policy, procedures and controls in place within the jurisdiction? If Yes, describe how.",Yes-Free Text/ No,"Conditional on ""Yes"" response to GSB Q17c", ,,,GSB 17d.iii,22,All,"Does the Customer enforce AML requirements within the jurisdiction regarding the identification and due diligence of financial institutions' customers? If Yes, describe how.",Yes-Free Text/ No,"Conditional on ""Yes"" response to GSB Q17c", ,,,GSB 17d.iv,22,All,"Does the Customer enforce the AML requirements in the jurisdiction designed to ensure due diligence and where appropriate, enhanced due diligence, is performed on relationships with Politically Exposed Persons (PEPs), their family members and close associates? If Yes, describe how. ",Yes-Free Text/ No,"Conditional on ""Yes"" response to GSB Q 17c", ,,,GSB 17d.v,22,All,"Does the Customer enforce AML requirements in the jurisdiction for the screening of customers and transactions against lists of persons, entities or countries issued by government/competent authorities, when initially on-boarding and regularly throughout a continuing relationship? If Yes, describe how.",Yes-Free Text/ No,"Conditional on ""Yes"" response to GSB Q17c", ,,,GSB 17d.vi,22,All,"Does the Customer enforce AML requirements in the jurisdiction regarding processes to detect, investigate and report suspicious activity to the appropriate authorities? If Yes, describe how.",Drop-down: Yes/No,"Conditional on ""Yes"" response to GSB Q17c", ,,,GSB 17d.viii,22,All,Describe any other relevant information relating to the country's AML environment and policies.,Free Text,"Conditional on ""Yes"" response to GSB Q17c", ,,,GSB 17e,22,All,Populate Table 6 to escalate to FCC,Feed through to Section 27 below,"Conditional on ""No"" response to GSB Q17c.i-17c.vii OR to 17d.i- 17d.viii", ,,,GSB 1a,1,All,Please provide details,Free text,"Conditional on ""Other"" response to GSB Q1", ,,,GSB 2,1,SCC,Does the Embassy comply with the Embassy Customer Selection/Exit criteria? ,"Drop down: Yes/No Look-up of country provided in response to core Q4.03 against list of countries where Embassies will be maintained/exited If ""Yes""- proceed with New Customer On-boarding, Periodic Review, Trigger Event Review, or RemediationIf ""No""- exit Customer or do not proceed with on-boarding","Conditional on ""Embassy"", ""High Commission"", ""Consulate/Consular office"", ""Diplomatic Office"", ""Trade Mission"", or ""Military AttachŽ"" response to GSB Q1", ,,,GSB 2a,1,"Low, Medium, High",What jurisdiction is the Customer owned by? ,Drop Down: List of countries [multi-select],"Conditional on response other than ""Ultimate parent"" or ""Standalone"" to core Q1.10 AND on response other than ""Embassy"", ""High Commission"", ""Consulate/Consular office"", ""Trade Mission"", ""Diplomatic Office"", or ""Military AttachŽ"" to GSB Q1", ,,,GSB 3a,2,"Low, Medium, High",Is the Customer located in or owned by a jurisdiction with a TI CPI score less than or equal to 35 or with a FinCEN Advisory warning? ,Drop-down: Yes/NoAuto-populated by look-up of responses to core Q3a.01 and GSB Q2a against list of jurisdictions in Appendix 3,"Conditional on response other than ""Embassy"", ""High Commission"", ""Consulate/Consular office"", ""Trade Mission"", ""Diplomatic Office"", or ""Military AttachŽ"" to GSB Q1", ,,,GSB 3b,2,"Low, Medium, High",Is the Customer involved in activities that are acceptable under the Group's Defense Equipment Policy?,Drop-down: Yes/No/N/A,"Conditional on response other than ""Embassy"", ""High Commission"", ""Consulate/Consular office"", ""Trade Mission"", ""Diplomatic Office"", or ""Military AttachŽ"" to GSB Q1 OR ""Military AttachŽ"" response to GSB Q1 AND SCC", ,,,GSB 3c.i,2,"Low, Medium, High",Has the escalation to FCC resulted in the revision of the Customer's risk categorisation to SCC? ,Drop-down: Yes/No,"Conditional on ""Yes"" response to GSB Q3c", ,,,GSB 4,2,"Low, Medium, High",Confirm that the Customer's risk categorisation has been amended to SCC,"Drop down: Yes/NoIf ""No"", provide link to FCC determination ","Conditional on (""Embassy"", ""High Commission"", ""Consulate/Consular office"", ""Trade Mission"", ""Diplomatic Office"", or ""Military AttachŽ"" response to GSB Q1) OR ""Yes"" response to GSB Q3a OR ""Yes"" response to GSB Q3b OR ""Yes"" response to GSB Q3ci", ,,,GSB 5a,4,SCC,Document the name of the Customer's Home State or Government,Free Text: Name,"Conditional on ""Embassy"", ""High Commission"", ""Consulate/Consular office"", ""Trade Mission"", ""Diplomatic Office"", or ""Military AttachŽ"" response to GSB Q1", ,,,GSB 6,5,SCC,Confirm that the name of the Customer's Home State or Government has been verified,Drop down: Yes/NoLink to document repository,"Conditional on ""Embassy"", ""High Commission"", ""Consulate/Consular office"", ""Trade Mission"", ""Diplomatic Office"", or ""Military AttachŽ"" response to GSB Q1", ,,,GSB 7,8,All,"If any funding is received from the government or state, confim the amount of funding received on an annual basis (in USD) and the source(s) of the Funds",Free Text/ N/A,"Conditional on response other than ""State-owned/controlled Bank"", ""State-owned/controlled Corporate"", or ""State-owned/controlled FI"" to GSB Q1", ,,,GSB 8a,8,All,Specify the location and markets in which the Fund typically invests.,Free Text,"Conditional on ""Sovereign Wealth Fund"" response to GSB Q1", ,,,GSB 8b,8,All,Does the Fund adhere to the Santiago Principles?,"Yes/NoIf ""No"", complete Table 6 for referral to FCC","Conditional on ""Sovereign Wealth Fund"" response to GSB Q1", ,,,GSB 8b.i,8,All,Provide a concise description of how the Customer manages its financial crime and AML risk.,Free Text,"Conditional on ""No"" response to GSB Q8b OR ""SCC"" response to core Q2.04 OR ""SCC"" response to GSB Q4", ,,,GSB 8b.ii,8,All,Provide any additional relevant information,Free Text,"Conditional on ""No"" response to GSB Q8b OR ""SCC"" response to core Q2.04 OR ""SCC"" response to GSB Q4", ,,,GSB 9,8,High/ SCC,Are the most recent audited accounts of the Customer available?,Drop-down: Yes/NoLink to document repository,"Conditional on response other than ""State-owned/controlled Bank"", ""State-owned/controlled Corporate"", or ""State-owned/controlled FI"" to GSB Q1", ,,,GSB3c,2,"Low, Medium, High",Does the Customer frequently disburse funds into or receive funds from a jurisdiction with a TI CPI score less than or equal to 35 or with a FinCEN Advisory warning? ,"Drop-down: Yes/NoIf ""Yes"", complete Table 6 for referral to FCC. (FCC will assess whether the jurisdictions involved and the frequency of transactions merits categorisation as SCC)","Conditional on ""No"" response to GSB Q3b AND ""New Customer Onboarding"" response to core Q1.06b", ,,,I4.04,4,All,What is the Sole Trader's date of birth?,Date box: dd/mm/yyyy,, ,,,I4.05,4,All,What is the Customer's Country of birth?,Drop down: List of countries,, ,,,I4.06,4,All,What nationality(ies)/citizenship(s) does the Customer hold?,"Drop down: List of all countries(Multi select)If a national/ citizen of a Sensitive Sanctioned country is identified, escalate to FCC (complete Table 6).",, ,,,I4.09,4,All,What is the Sole Trader's residential address?,Address (standard HSBC format) ,, ,,,I4.10,4,All,On what date did the Customer move to their residential address?,Date box: dd/mm/yyyy,, ,,,I4.11,4,All,What are the residential addresses held by the Sole Trader during the last three years?,Address (standard HSBC format) ,Conditional on answer to QI4.10 being within three years of the Sole Trader's application date, ,,,MSB 1.1,1,All,Is the Customer Licensed?,Drop down: Yes / No,, ,,,MSB 1.1a,1,All,Is the Customer Regulated?,Drop down: Yes / No,, ,,,MSB 1.2,1,All,Is the Customer Regulated or Licensed?,"Auto-populate with ""Yes"" where a ""Yes"" response is provided to either MSB 1.1a or MSB1.1; ""No"" response otherwise. ",, ,,,MSB 1.3a,3d,All,The Customer must not be on-boarded.,Instruction,"Conditional on ""No"" response to MSB 3d.05b", ,,,MSB 1.3b,3d,All,The Customer must be assigned SCC status and additional CDD Procedures followed.,Instruction,"Conditional on ""Yes"" response to MSB 3d.05b", ,,,MSB 1.4,1,All,Will the Customer be relationship managed within a specialist team or by a RM who has received specific MSB training? ,"Drop down: Yes / No If ""No"" response, contact local FCC team. ","Conditional on ""CMB"" response to Corp & Part A1.06 AND response to MSB 2.4 being ""Standalone MSB,"", ""Principal MSB with Agents"", ""Third Party Payment Processor (""TPPP"") or a ""Yes"" response to MSB 2.4e OR MSB 2.4d", ,,,MSB 2.1,2a,All,Has evidence been obtained to validate that the direct Customer is regulated/licensed in its country of registration?,"Drop down: Yes / NoIf yes, provide link to document repository ","Conditional on either ""Standalone MSB"" or ""Principal MSB with Agents"" response to MSB 2.4 or a ""Yes"" response to MSB 2.4e OR MSB 2.4d AND Conditional on ""Yes"" response to Corp & Part 3e.06 OR ""Yes"" response to MSB 1.1", ,,,MSB 2.10,2a,All,Document the average size of the transactions of the MSB's direct Consumers.,Free text,"Conditional on ""Principal MSB with Agents"" or ""Standalone MSB"" response to MSB 2.4 or a ""Yes"" response to MSB 2.4e OR MSB 2.4d", ,,,MSB 2.10a,2a,All,Document the average size of the transactions of the MSB's Agents' Consumers.,Free text,"Conditional on ""Principal MSB with Agents"" response to MSB 2.4", ,,,MSB 2.10b,2b,All,Document the average size of the transactions of the TPPP's customers.,Free text,"Conditional on ""Third Party Payment Processor"" response to MSB 2.4", ,,,MSB 2.11,2a,All,Obtain documentation detailing the agent management and agent termination practices for the MSB.,Provide link to document repository,"Conditional on ""Principal MSB with Agents"" response to MSB 2.4", ,,,MSB 2.11a,2a,All,Have any concerns been identified from the review of the MSB's agent management and agent termination practices?,"Drop down: Yes / NoIf yes, escalate to FCC","Conditional on ""Principal MSB with Agents"" response to MSB 2.4", ,,,MSB 2.12,2a,All,Obtain documentation detailing the MSB's employee/agent Screening practices.,Provide link to document repository,"Conditional ""Principal MSB with Agents"" response to MSB 2.4", ,,,MSB 2.12a,2a,All,Have any concerns been identified from the review of the MSB's employee/agent Screening practices?,"Drop down: Yes / NoIf yes, escalate to FCC","Conditional on ""Principal MSB with Agents"" response to MSB 2.4", ,,,MSB 2.12b,2a,All,Is the Agent registered with both a Principal MSB(s) and local regulator/licensor (if applicable)?,"Drop down: Yes / NoIf no, escalate to FCC","Conditional on a ""Yes"" response to MSB 2.4e OR MSB 2.4d", ,,,MSB 2.12c,2a,All,How long has the Agent been registered with each Principal MSB?,Free text,"Conditional on a ""Yes"" response to MSB 2.4e OR MSB 2.4d", ,,,MSB 2.12d,2a,All,Has the Agent received and complied with the AML procedures provided by each Principal MSB?,"Drop down: Yes / NoIf no, escalate to FCC","Conditional on a ""Yes"" response to MSB 2.4e OR MSB 2.4d", ,,,MSB 2.13,2b,All,Is the TPPP registered with a card scheme?,Drop down: Yes / No,"Conditional on ""Third Party Payment Processor"" response to MSB 2.4", ,,,MSB 2.13a,2b,All,Attach evidence to verify the card scheme registration.,Provide link to document repository,"Conditional on ""Yes"" response to MSB 2.13", ,,,MSB 2.14,2b,All,"Is the TPPP Payment Card Industry Data Security Standard (""PCI DSS"") compliant?","Drop down: Yes / NoIf no, escalate to FCC.","Conditional on ""Third Party Payment Processor"" response to MSB 2.4 ", ,,,MSB 2.14a,2b,All,Attach evidence to verify compliance with PCI DSS.,Provide link to document repository,"Conditional on ""Yes"" response to MSB 2.14", ,,,MSB 2.1a,2a,All,Provide information on the MSB's regulator/licensor in the MSB's country of registration (e.g. Is the regulator the principal Financial Services regulator or another authority?).,Free text,"Conditional on either ""Standalone MSB"" or ""Principal MSB with Agents"" response to MSB 2.4 or a ""Yes"" response to MSB 2.4e OR MSB 2.4d AND Conditional on ""Yes"" response to Corp & Part 3e.06 OR ""Yes"" response to MSB 1.1", ,,,MSB 2.1T,2b,All,Has evidence been obtained to validate that the TPPP is regulated/licensed in its country of registration?,"Drop down: Yes / NoIf yes, provide link to document repository ","Conditional on ""Third Party Payment Processor"" response to MSB 2.4 AND Conditional on ""Yes"" response to Corp & Part 3e.06 OR ""Yes"" response to MSB 1.1", ,,,MSB 2.1Ta,2b,All,Provide information on the TPPP's regulator/licensor in its country of registration (e.g. Is the regulator the principal Financial Services regulator or another authority).,Free text,"Conditional on ""Third Party Payment Processor"" response to MSB 2.4 AND Conditional on ""Yes"" response to Corp & Part 3e.06 OR ""Yes"" response to MSB 1.1", ,,,MSB 2.23,2b,All,Obtain a list of the TPPP's most significant customers/Merchants.,Provide link to document repository,"Conditional on ""Third Party Payment Processor"" response to MSB 2.4", ,,,MSB 2.23a,2b,All,What business activities are conducted by the TPPP's most significant customers/Merchants? ,Free text,"Conditional on ""Third Party Payment Processor"" response to MSB 2.4", ,,,MSB 2.23b,2b,All,What is the nature and profile of the TPPP's most significant customers/Merchants underlying consumers?,Free text,"Conditional on ""Third Party Payment Processor"" response to MSB 2.4", ,,,MSB 2.23c,2b,All,Select the Payment Types offered by the TPPP to its most significant customer/Merchants.,"Multi-select: credit card payments / debit card payments / charge card payments / Automated Clearing House (""ACH"") transactions / prepaid card transactions / Remotely Created Cheques (""RCC"") / Other ","Conditional on ""Third Party Payment Processor"" response to MSB 2.4", ,,,MSB 2.23d,2b,All,Please provide details of the Payment Types offered.,Free text,"Conditional on ""Other"" response to MSB 2.23c", ,,,MSB 2.24,2b,All,Describe any validation performed in respect of the business activities of the TPPP's most significant customers/Merchants? ,Free textProvide link to document repository ,"Conditional on ""Third Party Payment Processor"" response to MSB 2.4", ,,,MSB 2.24a,2b,All,Do the TPPP's most significant customers/Merchants present a high Financial Crime Risk such that they may not be able to achieve direct access to the banking system?,Drop down: Yes / No,"Conditional on ""Third Party Payment Processor"" response to MSB 2.4", ,,,MSB 2.25,2b,All,What is the point of sales relationship between the Merchant and their underlying consumers?,Free text,"Conditional on ""Third Party Payment Processor"" response to MSB 2.4", ,,,MSB 2.26,2b,All,Obtain an example pro forma contract between the TPPP and one of its customers.,Provide link to document repository,"Conditional on ""Third Party Payment Processor"" response to MSB 2.4", ,,,MSB 2.26a,2b,All,"From the review of the pro forma contract, have any concerns been identified in respect of the AML obligations and responsibilities of the TPPP and the TPPP's customer?","Drop down: Yes / NoIf yes, escalate to FCC","Conditional on ""Third Party Payment Processor"" response to MSB 2.4", ,,,MSB 2.27,2b,All,Does the TPPP re-sell its services to any third party? ,"Drop down: Yes / NoIf yes, escalate to FCC","Conditional on ""Third Party Payment Processor"" response to MSB 2.4", ,,,MSB 2.4,3d,All,What type of MSB is this?,"Drop down: Standalone MSB / Principal MSB with Agents / Agent of an MSB / Third Party Payment Processor (""TPPP"") ","Conditional on ""Money Service Businesses"" output within NBFI 1.1 OR Corp & Part 3d.04", ,,,MSB 2.4ab,2a,All ,"Complete [Corporate & Partnerships KYC Template] Table 5 ""Other Related Parties"" for the Principal Company(ies) for which the Customer is an Agent",Instruction,"Conditional on ""Yes"" response to MSB 2.4e OR MSB 2.4d", ,,,MSB 2.4b,1,All,Which MSB services are provided?,"Multi-select: a. Currency dealer, exchanger or money changer (e.g. Casa de Cambio, Bureau de Change, Exchange House)b. Cheque casher and cheque collection or paymentc. Issuer, seller, or redeemer of travellersÕ cheques d. Issuer, seller, or redeemer of money orders e. Provider or seller of Open Loop prepaid access to end user consumers where this exceeds US$1,000 (or equivalent)f. Provider or seller of Closed Loop prepaid access which provides access to funds exceeding US$2,000 (or equivalent) to a prepaid access device on any dayg. Money transmitter (including remittance) h. Payment/collections agent (includes receipt of cheques, travellersÕ cheques, drafts and any other payment instrument for a personal or non-personal Customer or the agent)i. Provision of mobile money services or platformsj. Issue of digital currency k. Exchanged of digital currency for real currency, funds or other digital currencylj. Other","Conditional on ""Standalone MSB"", ""Principal MSB with Agents"" or ""Agent of an MSB"" response to MSB 2.4", ,,,MSB 2.4b1,1,All,Please provide details of these services.,Free text,"Conditional on ""Other"" response within MSB 2.4b", ,,,MSB 2.4d,3d,All,Does the Customer provide money transmission services?,Drop down: Yes / No,"Conditional on ""Agent of an MSB"" response to MSB 2.4", ,,,MSB 2.4e,3d,All,"Does the Customer undertake any of the following activities for greater than either US$1,000 (or equivalent) (US$2,000 or equivalent in respect of activities pertaining to the provision or sale of Closed Loop prepaid access) or a lower in country threshold (if applicable) for any single person on any given day in one or more transactions? In exceeding the threshold limit, the Agent becomes and MSB in its own right:a. Currency dealer, exchanger or money changer (e.g. Casa de Cambio, Bureau de Change, Exchange House)b. Cheque casher and cheque collection or paymentc. Issuer, seller, or redeemer of travellersÕ cheques d. Issuer, seller, or redeemer of money orders e. Provider or seller of Open Loop prepaid access to end user consumers where this exceeds US$1,000 (or equivalent)f. Provider or seller of Closed Loop prepaid access which provides access to funds exceeding US$2,000 (or equivalent) to a prepaid access device on any dayg. Payment/collections agent (includes receipt of cheques, travellersÕ cheques, drafts and any other payment instrument for a personal or non-personal Customer or the agent)h. Provision of mobile money services or platformsi. Issue of digital currency j. Exchanged of digital currency for real currency, funds or other digital currency",Drop down: Yes / No,"Conditional on ""Agent of an MSB"" response to MSB 2.4", ,,,MSB 2.5,2a,All,How long has the Customer been established as an MSB?,Drop down: <1 year / 1 - 5 years / 5 - 10 years / >10 years,"Conditional on either ""Standalone MSB"" or ""Principal MSB with Agents"" response to MSB 2.4 or a ""Yes"" response to MSB 2.4e OR MSB 2.4d", ,,,MSB 2.6,2a,All,Does the Customer provide MSB products and services ancillary to another business?,Drop down: Yes / No,"Conditional on either ""Standalone MSB"" or ""Principal MSB with Agents"" response to MSB 2.4 or a ""Yes"" response to MSB 2.4e OR MSB 2.4d", ,,,MSB 2.6a,2a,All,Provide details of the Customer's primary business.,Free text,"Conditional on ""Yes"" response to MSB 2.6 or a ""Yes"" response to MSB 2.4e OR MSB 2.4d", ,,,MSB 2.7,2a,All,What are the main countries served?,Check Box: list of Countries (Multiple select available),"Conditional on either ""Standalone MSB"" or ""Principal MSB with Agents"" response to MSB 2.4 or a ""Yes"" response to MSB 2.4e OR MSB 2.4d", ,,,MSB 2.7b1,1,All,Please provide details of these services.,Free text,"Conditional on ""Other"" response within MSB 2.7a for each of the identified Countries in MSB 2.7", ,,,MSB 2.7ba,2a,All,Has a list of some of the MSB's customers selected at random been obtained? ,"Drop down: Yes / NoIf yes, provide link to document repository ","Conditional on either ""Standalone MSB"" or ""Principal MSB with Agents"" response to MSB 2.4 or a ""Yes"" response to MSB 2.4e OR MSB 2.4d", ,,,MSB 2.7ba1,2a,All,What is the nature and extent of the owner's and/or management's experience of MSBs? ,Free text,"Conditional on either (""Standalone MSB"" or ""Principal MSB with Agents"" response to MSB 2.4 or a ""Yes"" response to MSB 2.4e OR MSB 2.4d) AND ""No"" repsonse to Corp & part A3.3 AND ""No"" response to Corp & Part A3e.02 AND ""No response"" to Corp & Part 3e.06d.2", ,,,MSB 2.7T,2a,All,What are the main countries served?,Check Box: list of Countries (Multiple select available),"Conditional on ""Third Party Payment Processor"" response to MSB 2.4", ,,,MSB 2.8,2a,All,Obtain a list of the MSB's offices and agent locations (where applicable).,Provide link to document repository,"Conditional on either ""Standalone MSB"" or ""Principal MSB with Agents"" response to MSB 2.4 or a ""Yes"" response to MSB 2.4e OR MSB 2.4d", ,,,MSB 2.9,2a,All,"Document the nature of the Customer's Agents and their client base, including whether any of the Agent's own consumers represent a significant percentage of its business (if applicable).",Free text,"Conditional on ""Principal MSB with Agents"" response to MSB 2.4", ,,,MSB 23.1,24,All,An AML visit must be undertaken.,Instruction,"Conditional on either ""Standalone MSB"", ""Principal MSBs with Agents"" OR ""Third Party Payment Processor"" response to MSB 2.4 OR a ""Yes"" response to MSB 2.4e OR MSB 2.4dAND ""No"" response to Corp & Part 24.02 ", ,,,MSB 3d.05b,3d,All,"Has an exception request been approved by the appropriate Reputational Risk and Client Selection Committee, Risk Management Committee, Senior Business Management and Group AML? ","Drop down: Yes / NoIf yes, attach the Exception Request Approval received and link to document repository","Conditional on ""Standalone MSB"", ""Principal MSB with Agents"" or ""Third Party Payment Processor (""TPPP"")"" response to MSB 2.4 OR; ""Yes"" response to MSB 2.4e OR MSB 2.4d", ,,,MSB 6.1,23,All,Does the Customer have procedures in place to identify and verify its clients?,Drop down: Yes / No,"Conditional on Standalone MSB,, ""Principal MSB with Agents"", ""Third Party Payment Processor (""TPPP"") to MSB 2.4 or a ""Yes"" response to MSB 2.4e OR MSB 2.4d", ,,,MSB 6.10,23,All,"Does the Customer evaluate Financial Crime risk in assessing and accepting prospective customer relationships, which includes considering the legitimacy of their operations? ",Drop down: Yes / No,"Conditional on ""Third Party Payment Processor"" response to MSB 2.4", ,,,MSB 6.11,23,All,How does the Customer minimise the risk that it may be used by underlying customers to facilitate Financial Crime activity?,Free text,"Conditional on ""No"" response to MSB 6.10", ,,,MSB 6.3,23,All,Does the Customer monitor client activity for unusual behaviour?,Drop down: Yes / No,"Conditional on Standalone MSB,, ""Principal MSB with Agents"", ""Third Party Payment Processor (""TPPP"") to MSB 2.4 or a ""Yes"" response to MSB 2.4e OR MSB 2.4d", ,,,MSB 6.4,23,All,Does the Customer report suspicious transactions to the appropriate authorities?,Drop down: Yes / No,"Conditional on Standalone MSB,, ""Principal MSB with Agents"", ""Third Party Payment Processor (""TPPP"") to MSB 2.4 or a ""Yes"" response to MSB 2.4e OR MSB 2.4d", ,,,MSB 6.5a,23,All,"Attach any information obtained on the MSBs AML Programme (e.g. in respect of the Customer's policies, procedures and controls).",Provide link to document repository,"Conditional on Standalone MSB,, ""Principal MSB with Agents"", ""Third Party Payment Processor (""TPPP"") to MSB 2.4 or a ""Yes"" response to MSB 2.4e OR MSB 2.4d", ,,,MSB 6.5T,23,All,Does the Customer operate Customer List and Transaction Screening?,Drop down: Yes / No,"Conditional on ""Third Party Payment Processor"" response to MSB 2.4", ,,,MSB 6.8,23,All,Has this independent testing been performed in respect of the MSB's own locations and Agent locations (where applicable)?,Drop down: Yes / No,"Conditional on ""Yes"" response to MSB 6.7", ,,,MSB 6.8a,23,All,Obtain and attach the results of the most recent testing performed and record the name of the party responsible for the testing.,InstructionProvide link to document repository,"Conditional on ""Yes"" response to MSB 6.8", ,,,MSB 8,23,All,What steps does the Customer take to prevent Money Laundering and comply with applicable Money Laundering legislation? ,Free Text,"Conditional on ""No"" response to any of questions MSB 6.1 - 6.5 OR ""No"" response to MSB 6.5T", ,,,NBFI 0.1,1,All,What type of Financial Institution is the Customer?,Drop down: Bank / Non-Bank,"Conditional on ""Yes"" response to NBFI 0.1a OR on ""Yes"" response to Corp & Part A3e.02", ,,,NBFI 0.1a ,1,All,Is the Customer a Financial Institution? ,Drop down: Yes / No ,"Conditional on ""No"" response to Corp & Part A3e.02", ,,,NBFI 1.1,1,All,Select the type(s) of NBFI that most accurately reflect the Customer's business activity and risk,Multi select list of NBFI Business Types from Appendix [Y] - Mapping between Business Types and NBFI CategoryAuto displays NBFI Category(s) based on inputted NBFI Business type ,"Conditional on ""Non-Bank"" response to NBFI 0.1 ", ,,,NBFI 1.1b,1,All,Provide the NBFI Business Type,Free Text ,"Conditional on ""Other"" response within NBFI 1.1", ,,,NBFI 1.2b,1,All,Please follow the due diligence requirements specified within the Banks section of the CDD Procedures and apply the Banks KYC template,Instruction,"Conditional on ""Deposit Taking Institution"" output within NBFI 1.1", ,,,NBFI 1.2c,1,All,Please follow the due diligence requirements specified within the Funds section of the CDD Procedures and apply the Funds KYC template,Instruction,"Conditional on ""Funds"" output within NBFI 1.1", ,,,NBFI 1.2f,1,All,Please follow the due diligence requirements specified within the Gaming Operations section of the CDD Procedures and apply the Gaming Operations KYC template,Instruction,"Conditional on ""Gaming Operation"" output within NBFI 1.1", ,,,NBFI 1.2g,1,All,"Please follow the due diligence requirements specified within the Money Service Businesses (""MSBs"") section of the CDD Procedures and apply the MSBs KYC template",Instruction,"Conditional on ""Money Service Businesses"" output within NBFI 1.1", ,,,NBFI 1.3,22,All,Is the Customer more than 50% owned by a Regulated Bank with a completed and valid Wolfsberg Questionnaire?,Drop down: Yes / No ,, ,,,NBFI 1.3a,22,All,Attach the completed and valid Wolfsberg Questionnaire,Instruction - Link to document repository,"Conditional on ""Yes"" response to NBFI 1.3", ,,,NBFI 1.3b,22,All,Provide the name of the Regulated Bank,Free text,"Conditional on ""Yes"" response to NBFI 1.3", ,,,NBFI 1.4,1,All ,Will the Customer be relationship managed within a specialist team or by an RM who has received specialist training? ,"Drop down: Yes / No If ""No"" response, contact local FCC team. ","Conditional on responses to NBFI 1.1 being either: 1. Lending and Finance Companies2. Investment Management Services3. Financial Instrument Trading or Brokerage 4. Custodian of Customer Money and Assets5. Life Insurer 6. Non-Life Insurer7. Advisory or Specialist Businesses8. NBFI Holding Company; AND The NBFI 1.1 input is NOT 'Financial Advisor' or 'Mortgage/Loan Broker Agencies'; AND""CMB"" response to Corp & Part A1.06", ,,,NBFI 1.5,22,All,"Has an AML discussion taken place between HSBC Compliance and the Compliance team at the Customer's parent firm (a ""Due Diligence call"")?",Drop down: Yes / No ,"Conditional on ""No"" response to NBFI 1.3 AND response to Corp & Part 1.10 is either ""Subsidiary"" OR ""Branch"" OR ""Joint Venture"" OR ""Other"".", ,,,NBFI 1.5a,22,All,"Has information been obtained from a ""Due Diligence call' which provides assurance that the Parent's AML procedures and controls are operated effectively by the Customer, and that the procedures and controls are sufficient to meet the requirements of the applicable questions within the NBFI AML Questionnaire? ",Drop down: Yes / No ,"Conditional on ""Yes"" response to NBFI 1.5", ,,,NBFI 2.0,23,All,Is an NBFI AML Questionnaire required?,"Auto-populated based on responses within the ""NBFI AML Questionnaire - application"" section: - ""No"" response to NBFI 1.5a; AND - ""No"" response to NBFI 1.3. The question set is auto-populated based on the NBFI's Size (NBFI 0.7) and Equivalently Regulated status (Corp & Part A3e.02) ",, ,,,NBFI 2.1,23,All,Does the Customer conduct due diligence to identify their Clients and verify their identity on a risk basis?,Drop down: Yes / No ,"Conditional on ""Yes"" response to NBFI 2.0", ,,,NBFI 2.10,23,All,"Does the Customer's AML policy cover relationships with Politically Exposed Persons (PEPs), their family and close associates?",Drop down: Yes / No ,"Conditional on ""Yes"" response to NBFI 2.0", ,,,NBFI 2.11,23,All,Does the Customer conduct EDD procedures on those categories of client and transactions which pose a heightened risk of illicit activities to the Customer?,Drop down: Yes / No ,"Conditional on ""Yes"" response to NBFI 2.0", ,,,NBFI 2.12,23,All,Has the Customer's AML compliance programme been approved by the Customer's board or an equivalent senior committee?,Drop down: Yes / No ,"Conditional on ""Yes"" response to NBFI 2.0", ,,,NBFI 2.15,23,All,"Are the Customer's AML policies, procedures and controls supported by an appropriately resourced control function?",Drop down: Yes / No ,"Conditional on ""Yes"" response to NBFI 2.0", ,,,NBFI 2.16,23,All,Does the Customer operate controls governing the receipt and use of Client funds where they are held?,Drop down: Yes / No / N/A,"Conditional on ""Yes"" response to NBFI 2.18", ,,,NBFI 2.18,23,All,Does the Customer hold Client Money or Assets? ,Drop down: Yes / No ,"Conditional on ""Yes"" response to NBFI 2.0", ,,,NBFI 2.18a,23,All,How does the Customer segregate between Client and Proprietary Money or Assets? ,Free text,"Conditional on ""No"" response to NBFI 2.16", ,,,NBFI 2.2,23,All,"Does Customer Due Diligence (""CDD"") include review of the Clients' Source of Wealth and Source of Funds?",Drop down: Yes / No ,"Conditional on ""Yes"" response to NBFI 2.0", ,,,NBFI 2.23,23,All,What steps does the Customer take to prevent Money Laundering and comply with applicable Money Laundering legislation? ,Free Text,"Conditional on ""No"" response to any of questions NBFI 2.1 - 2.8", ,,,NBFI 2.25,23,All,What is the Customer's AML Compliance Structure?,Free Text,"Conditional on ""No"" response to either NBFI 2.12 or 2.13", ,,,NBFI 2.26,23,All,What additional (or enhanced) CDD procedures does the Customer apply to those categories of client assessed (by the Customer) as posing a higher risk of Money Laundering to the Customer's business? ,Free Text,"Conditional on ""No"" response to either NBFI 2.10 OR NBFI 2.11", ,,,NBFI 2.3,23,All,Does the Customer collect information regarding its Clients' business activities as part of CDD?,Drop down: Yes / No ,"Conditional on ""Yes"" response to NBFI 2.0", ,,,NBFI 2.4,23,All,Does CDD include a risk-based assessment to understand the normal and expected transactions of its clients?,Drop down: Yes / No ,"Conditional on ""Yes"" response to NBFI 2.0", ,,,NBFI 2.5,23,All,Do the Customer's AML procedures support the detection and reporting of suspicious activity?,Drop down: Yes / No ,"Conditional on ""Yes"" response to NBFI 2.0", ,,,NBFI 2.6,23,All,"Does the Customer operate Client List Screening against lists of sanctioned persons, entities or countries issued by applicable government/competent authorities and for PEPs, initially at on-boarding and subsequently during a continuing relationship?",Drop down: Yes / No ,"Conditional on ""Yes"" response to NBFI 2.0", ,,,NBFI 2.7,23,All,Does the Customer operate a Transaction Monitoring programme intended to identify unusual and potentially suspicious activity?,Drop down: Yes / No ,"Conditional on ""Yes"" response to NBFI 2.0", ,,,NBFI 33.23b,33a,All,"Confirm that the Customer has been raised for referral to the Reputational Risk Committee, and attach any dispensation provided by the RRC.",Drop down: Yes / NoLink to document repository,"Conditional on ""Yes"" response to NBFI 33.21", ,,,NBFI 33.24c,33a,All,Has the Customer been asked directly about their exposure to Sensitive Countries?,"Drop down: Yes / NoIf ""No"", AND the response to Corp & Part A3e.02 is ""No"", complete Table 6 for referral to FCC",, ,,,NBFI 33.24d,33a,All,What is the rationale as to why it has not been necessary to ask the Customer about their exposure to Sensitive Countries? ,Free Text,"Conditional on ""No"" response to NBFI 33.24c", ,,,NBFI 33.24e,33a,All,Who has answered the questions relating to Sensitive Sanctioned Countries?,Drop down: Customer / Parent on behalf of the Group,"Conditional on ""Yes"" response to NBFI 33.24c", ,,,SL 1,1,All,Is there a Loan Agreement or equivalent document for the transaction? ,"Drop-down: Yes/NoIf ""Yes"", link to document repositoryIf ""No"", escalate to FCC and provide an explanation of why there is no relevant document",, ,,,SL 10,1,All,Confirm that Due Diligence will be completed on the lender or on the Buyer prior to the signing of the Loan Agreement or before any assignment/transfer is completed by HSBC.,"Drop-down: Yes/NoIf ""No"", escalate to FCC","Conditional on ""Agent"" or ""Security Agent"" response to Q SL2", ,,,SL 11,1,All,Has HSBC sold any part of the lending book to a third party lender after the transaction has commenced? ,"Drop-down: Yes/NoIf ""Yes"", amend response to Q SL2 to include selection of ""Lender""","Conditional on ""Mandated Lead Arranger/Manager/Bookrunner"" response to Q SL2", ,,,SL 3,1,All,Does the Lender also have a Mandated Lead Arranger/Manager/Bookrunner role?,Drop-down: Yes/No,"Conditional on response other than ""Mandated Lead Arranger/Manager/Bookrunner"" to Q SL2", ,,,SL 4.a,1,All,"Confirm that full Customer Due Diligence has been performed on the Borrower, Lender(s), Mandated Lead Arranger(s), and Buyer (if in a secondary market)","Drop-down: Yes/NoIf ""No"", complete separate CDD profiles required for the relevant parties","Conditional on ""Agent"" OR ""Security Agent"" response to Q SL2 AND ""Yes"" response to Q SL3 ", ,,,SL 4.b,1,All,"Confirm that full Customer Due Diligence has been performed on the Borrower, Lender(s) and Buyer (if in a secondary market), and that Due Diligence has been performed on the Mandated Lead Arranger(s) as a related party to the Borrower. ","Drop-down: Yes/NoIf ""No"", complete CDD profiles for the relevant parties and Due Diligence required on the MLA(s)","Conditional on ""Agent"" OR ""Security Agent"" response to Q SL2 AND ""No"" response to Q SL3", ,,,SL 5,1,All,Confirm that full Customer Due Diligence has been completed on the Borrower and that Due Diligence has been performed on the Mandated Lead Arranger(s) and Agent as a related party to the Borrower. ,"Drop-down: Yes/NoIf ""No"", complete CDD profile for the relevant party and Due Diligence required on the MLA(s) and Agent","Conditional on ""Lender"" response to Q SL2", ,,,SL 6,1,All,Confirm that full Customer Due Diligence has been completed on the Borrower and that Due Diligence has been performed on the Mandated Lead Arranger(s) and Lender(s) as related parties to the Borrower. ,"Drop-down: Yes/NoIf ""No"", complete CDD profile for the relevant party and Due Diligence required on the MLA(s) and Lender(s)","Conditional on ""Mandated Lead Arranger/Manager/Bookrunner"" response to Q SL2", ,,,SL 7,1,All,"Confirm that full Customer Due Diligence has been performed on the Buyer, and that Due Diligence has been performed on the Agent as a related party of the Borrower.","Drop-down: Yes/NoIf ""No"", complete CDD required for the Buyer and Due Diligence required on the Agent","Conditional on ""Seller"" response to Q SL2", ,,,SL 8,1,All,"Confirm that full Customer Due Diligence has been performed on the Borrower and Seller, and that Due Diligence has been performed on the Agent as a related party of the Borrower.","Drop-down: Yes/NoIf ""No"", complete CDD required for the relevant parties and Due Diligence required on the Agent","Conditional on ""Buyer"" response to Q SL2", ,,,SL 9,1,All,"Confirm that Due Diligence will be completed on the Borrower prior to the signing of the Loan Agreement, or before new borrowers are granted accession post-signing or before any assignment/transfer is completed or mandate accepted by HSBC. ","Drop-down: Yes/NoIf ""No"", escalate to FCC","Conditional on ""Agent"", ""Security Agent"", ""Lender"", ""Buyer"" or ""MLA"" response to Q SL2", ,,,SPV 1.a,1,All,Has a prospectus or equivalent document been obtained for the SPV? ,"Drop-down: Yes/NoIf ""Yes"", link to document repositoryIf ""No"", escalate to FCC and provide an explanation of why there is no relevant document",, ,,,SPV 1.b,18,All,"State the rationale for the establishment of the SPV, and for its use of the product/services provided by HSBC.",Free text,, ,,,SPV 1.c,18,All,Does the rationale for the transactions appear valid? ,"Drop-down: Yes/NoIf ""No"", escalate to FCC",, ,,,SPV 10,17,All,What is the source of the assets transferred to the SPV?,Free text,, ,,,SPV 11,18,All,Will HSBC be providing an Account Bank or PCM services to the SPV?,"Drop-down: Yes/NoIf ""Yes"", the expected transaction activity and nature of transactions must be identified at an individual account-level",, ,,,SPV 3,15,All,"Has full Customer Due Diligence been performed on the SPV, Administrator, Asset Provider and Investor/Dealer? ","Drop-down: Yes/NoIf ""No"", complete CDD profiles","Conditional on ""Arranger"" response to Q SPV 2", ,,,SPV 3a,15,All,"Has the profile of the SPV has been referenced to the profiles of the Asset Provider, Administrator, Investor/Dealer and Security Depositary (where applicable)?","Drop-down: Yes/NoIf ""No"", complete referencing required for the relevant parties","Conditional on ""Arranger"" response to Q SPV 2", ,,,SPV 4,15,All,"Has both full Customer Due Diligence been performed on the SPV and due diligence completed on the Administrator, Approved Arranger and Asset Provider as related parties to the SPV?","Drop-down: Yes/NoIf ""No"", complete CDD profiles ","Conditional on ""CTLA Provider"", ""Broker/Dealer"" or ""Lender"" response to Q SPV 2", ,,,SPV 4a,15,All,"Has the profile of the SPV has been referenced to the profiles of the Administrator, Approved Arranger and Asset Provider?","Drop-down: Yes/NoIf ""No"", complete referencing required for the relevant parties","Conditional on ""CTLA Provider"", ""Broker/Dealer"" or ""Lender"" response to Q SPV 2", ,,,SPV 5,15,All,List all HSBC Group entities providing services to the SPV. ,Free text,, ,,,SPV 6,15,All,Review the agreement between the Arranger and SPV and state the scope of the Arranger's authority to act on behalf of the SPV.,Free textLink to document repository,"Conditional on ""CTLA Provider"", ""Broker/Dealer"" or ""Lender"" response to Q SPV 2", ,,,SPV 7,3b,All,Is the SPV ultimately owned by a charitable trust? ,Drop-down: Yes/No,, ,,,SPV 8,3b,All,"Was the charitable trust ultimately formed to hold the assets of the SPV, does not receive any public donations, and is only in place to receive the small residue of funds when the SPV is wound down? ","Drop-down: Yes/NoIf ""Yes"", the SPV is exempted from consideration as a charitable trust.If ""No"", complete additional requirements for Trusts","Conditional on ""Yes"" response to Q SPV 7", ,,,SPV 9,17,All,What is the source of funds invested in the SPV?,Free text,, ,,,T1.1,1,All,What is the operational status of the customer? ,Drop down:Trading / donations / subscriptions.Holding Trust (linked to a Commercial Business) Holding Trust (linked to a PIC or individual),, ,,,T1.4,1,All,"If ""other"" selected, request explanation. ","Free Text: Reasoning for OtherInsert the FileNet Link/ Scanned documents if approval given from Compliance.Where the purpose of account is unclear or lacks an economic or financial purpose, escalate to FCC","Conditional on ""Other"" response to T1.3", ,,,T1.5,4,All,What is the future date of Customer dissolution (where stated)?,"Date Box: dd/mm/yyyy, or N/AComplete Table 1 ",, ,,,T1.6,1,All,Which party is the account applicant?,Drop down option:SettlorTrustee Trustee and Settlor (if the same party)ProtectorKey Controller (where the Settlor is a business)Other ,, ,,,T1.6a,1,All,What is the name of the account applicant? ,Free Text: Name of account applicant,, ,,,T1.7,1,All,"If 'Other' selected, explain why they are in the position to open the account. ",Fields to be : Name: free text Role: free text ,"Conditional on ""Other"" response to T1.6", ,,,T12.17,14,All,"If the names of any of the Controlling Parties have changed, document previous names. ",Free Text: Document previous names of connected parties,, ,,,T12.8,14,All,Have there been any changes to the Trustee / Protectors within the past 5 years? ,Drop Down: Yes/ No,, ,,,T12.9,14,All,"If Yes, note who the previous Trustee(s) were. ",Free Text: names of previous Trustees,"Conditional on ""Yes"" response to T12.8", ,,,T13.1,14,All,Confirm that all Controlling Parties in have been verified in accordance with HSBC procedures.,Drop Down: Yes/ NoInstruction: Complete Table 3,, ,,,T14.1,11,All,"Are the Beneficiaries named, classed/ unnamed or not yet eligible according to the Legal Document?","Drop Down List:- Named- Classed/ Unnamed- Named, but not yet eligible",, ,,,T14.13,11,All,Is the entitlement of the Beneficiary(ies) fixed? ,Drop Down: Yes / No,"Conditional on ""Named"" response to T14.1", ,,,T14.16a,11,All,What is the approximate number of Beneficiaries?,"""1-20"", ""21-50"", ""51-100"", ""101-500"", ""500+""",, ,,,T14.17a,11,All,"If the name of the Attorney has changed, document previous names. ",Free Text: Document previous names of powers of attorney,"Conditional on ""Yes"" response to T14.5", ,,,T14.2,11,All,Is the Beneficiary a Legal Entity or an Individual?,Drop down:- Legal Entity- IndividualInstruction: Complete Table 4,"Conditional on ""Named"" response to T14.1", ,,,T14.4,11,All,What is the class(es) of Beneficiaries and what is the approximate number of Beneficiaries per class? ,"Free Text: Group Class and number of BeneficiariesComplete table 4If unable to identify class, complete Table 6 for referral to FCC","Conditional on ""Classed/ Unnamed"" response to T14.1", ,,,T14.5,11,All,Are there any Powers of Attorney between the Trust and the Beneficiary (ies)? ,"Drop Down: Yes/ NoIf ""Yes"", then Identification & Verification procedures will be required as per Beneficiary ID&V. ",, ,,,T14.5.a,11,All,Identify all Powers of Attorney - Full name - Date of Birth- Residential address - Nationality (x3),Free Text: Identification of POA'sInstruction: Complete Table 4,"Conditional on ""Yes"" response to T14.5", ,,,T14.5.b,11,All,What is the relationship of the Power of Attorney to the Foundation?,Free Text,"Conditional on ""Yes"" response to T14.5", ,,,T15.4,11,All,Confirm that the ownership structure has been verified where the Beneficiary is a Legal Entity.,"Drop Down: Yes/ NoIf ""No"", complete Table 6 for referral to FCC","Conditional on ""Legal Entity"" response to T14.2", ,,,T15.5,11,All,Confirm that at least one parent/ guardian has been verified.,"Drop Down: Yes/ NoIf ""No"", complete Table 6 for referral to FCC","Conditional on ""Yes"" response to T14.14", ,,,T15.6,11,All,Confirm that a necessary verification document has been obtained for the minor? ,"Drop Down: Yes/ NoIf ""No"", complete Table 6 for referral to FCC","Conditional on ""Yes"" response to T14.14", ,,,T17.03,8,All,What is the source of the Customer's principle revenue/ expected income?,"Drop down (multi select options): ""Settlor"", ""investments"", ""Operating Trust Business"", ""Other""Free text: Other",, ,,,T24.01a,24,All,"If ""other"", which party was visited. Please explain why this party was visited? ",Free Text,"Conditional on ""Other"" response to QT24.01", ,,,T24.02,24,All,What address was visited? ,Free Text: Address (HSBC standard address format),"Conditional on ""Trustee"" OR ""Settlor"" OR ""Other"" response to QT24.01 24.02", ,,,T3.2a,3a,All,Provide an explanation as to why the location of distribution of funds is not known?,Free Text: explain (e.g. beneficiary not yet named),"Conditional on ""N/A"" response to T3.2", ,,,T7.4,8,All,Is the country of establishment different from the country where the HSBC account is held?,Drop Down: Yes/ No,, ,,,T7.5,8,All,Provide an explanation for the difference between country of establishment and the account holding country.,Free Text: Explanation of the difference,"Conditional on ""Yes"" response to T7.4", ,,,T8.07,8,All,Does the Customer hold assets through a Nominee Company? ,Drop Down: Yes / No,, ,,,T8.07a,8,All,"Confirm that the ownership structure chart (between Customer and nominee company), certificate of incorporation and nominee agreement were obtained for the nominee company.","Drop down: Yes / NoIf ""Yes"" link to the document repositoryIf ""No"" complete Table 6 for referral to FCC","Conditional on ""Yes"" response to T8.07",