Compliance Templates

Compliance

Client due diligence request

Standard CDD information and document request.

Compliance

Source of funds request

Client request for transaction funding evidence.

Compliance

Source of wealth request

Wealth background and evidence request for EDD cases.

Compliance

Third-party funds explanation request

Request to explain and evidence third-party contributions.

Compliance

Gifted deposit questionnaire

Donor identity, relationship, and source questionnaire.

Compliance

Corporate UBO request

Ultimate beneficial ownership and control structure request.

Compliance

Enhanced due diligence note

Internal EDD rationale and measures note.

Compliance

Sanctions false positive note

Documented rationale for discounting a screening match.

Compliance

PEP approval note

Senior management approval record for PEP relationships.

Compliance

Conflict waiver request

Informed consent request where a conflict may be waived.

Compliance

Ethical wall memo

Information barrier instructions and acknowledgements.

Compliance

MLRO escalation note

Internal escalation summary for MLRO review.

Compliance

Client money warning

Internal alert template for client account anomalies.

Compliance

Undertaking confirmation

Record of undertaking given or received with discharge terms.

Compliance

Data retention notice

Retention and deletion schedule notification.

Compliance

AI use policy acknowledgement

User attestation to the firm's AI usage policy.

Compliance

Compliance file note

General compliance decision and rationale file note.