aml/cft data collection questionnaire phase 1 of … · aml/cft data collection questionnaire phase...

1 A-Organisational Data

All Reporting Entities should complete this sheet but some questions are conditional

on the type of regulated business undertaken

e.g. A4 should only be completed by a TCB

2 B-Compliance Data All Reporting Entities should complete this sheet

3 C-Financial Sanctions All Reporting Entities should complete this sheet

4 D-Country ListThis sheet should be completed by any Reporting Entity that answers positively for

questions A14, A15, A16, A23(a) or A23(b)

5 E-CommentsThis sheet should be completed where a Reporting Entity wishes to provide

explanatory information for any one of A9, A21, A22, A23(a) or A23(b).

AML/CFT Data Collection Questionnaire

Phase 1 of Risk Based Supervision Data

This workbook contains 5 spreadsheets which should be completed taking note of the guidance below

Questions A1 to A20 should be answered only in respect of the Reporting Entity

A1 Full name of the Reporting Entity (1)

A2 Regulated Business carried on by the Reporting Entity Deposit-taking

(Mark with an X all that apply) Trust Company Business

Investment Business

Fund Services Business

AIF Services Business

Money Service Business

A3Reporting

Entity

Participating

members

Yes/No Number

Lawyers

Accountants

Estate agency services

High value dealers

Casinos (including internet casinos)

Other services set out in paragraph 7(1) of Part B of Schedule 2 to the Proceeds of Crime (Jersey) Law 1999:

(a)

(b)

(c) financial leasing

(e)

(f) guarantees and commitments

(g)

(h)

(i)

(j) money broking

(k) portfolio management and advice

(l) safekeeping and administration of securities

(m) safe custody services

(n)

A4 If conducting Trust Company Business, number of participating members (if any)

A5

A6 If conducting Fund Services Business, number of managed entities (if any)

A7 If conducting Fund Services Business, number of unregulated funds to which services are provided (if any)

A8 If conducting Fund Services Business, Trust Company Business or Investment Business, number of supported

fund operators (3) that provide services to:

Unregulated Funds

Private Funds (JPF, COBO Only, PPF and VPF)

A9 If conducting Fund Services Business, Trust Company Business or Investment Business, number of private


Data reporting date: 31/12/2017

Section A: Organisational data/footprint

acceptance of deposits and other repayable funds from the public

lending, including consumer credit, mortgage credit, factoring (with or without recourse), financing of

commercial transactions (including forfeiting)

Specified Schedule 2 Business carried on by the Reporting Entity:

issuing and administering means of payment (such as credit and debit cards, cheques, travellers'

cheques, money orders and bankers' drafts, and electronic money)

trading for the account of third parties in: (i) money market instruments (cheques, bills, certificates of

deposit, derivatives etc), (ii) foreign exchange, (iii) futures and options (financial and commodity), (iv)

exchange, interest rate and index instruments, (v) transferable securities

participation in securities issues (and the provision of services related to such issues) except in the

course of business excluded by the operation of paragraph 4(ca), (cb) or (h) of Part A of Schedule 2 of

the Proceeds of Crime (Jersey) Law 1999

advice to undertakings on capital structure, industrial strategy and related questions and advice as

well as services relating to mergers and the purchase of undertakings

otherwise investing, administering or managing funds or money on behalf of third parties

If conducting Trust Company Business, number of private trust companies (2) administered by the Reporting Entity (if any)

A-Organisational Data of 12 13/03/2018 - 13:22

funds (4) in relation to which services are provided (i) directly to a private fund or (ii) to a service provider

of a private fund (5): Jersey Private Funds (JPF)

COBO only Funds

Number of COBO Only funds that are likely to terminate by 31/12/20

Private Placement Funds (PPF)

Number of PPFs that are likely to terminate by 31/12/20

Very Private Funds (VPF)

Number of VPFs that are likely to terminate by 31/12/20

A10 If conducting accountancy services, is the Reporting Entity a member of a professional body? (6)

A11(a) Where the Reporting Entity is established outside Jersey, is it subject to supervision by an overseas regulator?

A11(b) If the answer to A11(a) is yes, in which country is the overseas regulator?

A12(a) Is the Reporting Entity part of a group of companies and subject to consolidated supervision by an overseas regulator?

A12(b) If the answer to A12(a) is yes, in which country is the overseas regulator?

A13 Is any parent entity of the Reporting Entity one of the following:

(Mark with an X all that apply) Bank

Non-bank financial services

Private Equity/Fund

Law firm

Accountancy Firm

A14 Please answer question using "D-Country List" tab

A15Please answer question using "D-Country List" tab

A16Please answer question using "D-Country List" tab

A17(a)

A17(b)

50% or more Less than 50%

A18 Number of employees (full time equivalent)

A19

A20 Number of unfilled vacancies in compliance and risk

Questions A21 to A23 should be answered on an Aggregated Basis

A21 Total number of customers as at the reporting date or during the year ended on the reporting date (8)

A22 Total number of unique beneficial owners and controllers of customers (9)

A23(a)

Please answer question using "D-Country List" tab

A23(b)

Please answer question using "D-Country List" tab

(1)

(2)

(3)

(4)

(5)

Number of unique PEPs (10) by country, who are customers or beneficial owners

and controllers of customers (11), where no property of the PEP is handled in the

business relationship or one-off transaction

Total income for the year ended on the reporting date or the Reporting Entity's

most recent financial year end (in GBP thousands)

Estimate of income from regulated/Specified Schedule 2 business activity for the

same period as reported at A17(a) (in GBP thousands)

Number of subsidiaries of the Reporting Entity operatingin each country

A private fund is a scheme falling within the definition of "collective investment fund" in Article 3 of the Collective Investment Funds

(Jersey) Law 1988 except that the offer of units in the scheme or arrangement is not an offer to the public within the meaning of that

Article.

As defined in Articles 4 and 4A of Part 1 of the Financial Services (Trust Company Business (Exemptions)) (Jersey) Order 2000.

Number of branches or representative offices of the Reporting Entity that are

regulated/supervised for AML/CFT purposes (7)

Number of unique PEPs (10) by country, who are customers or beneficial owners

and controllers of customers (11), where property of the PEP is handled in the

business relationship or one-off transaction

Number of employees (full time equivalent) working in compliance and risk

Average working week spent in Jersey

Number of subsidiaries of the Reporting Entity that are regulated/supervised for

AML/CFT purposes

Where the Reporting Entity is an affiliation leader, this form must be completed on behalf of the whole affiliation.

A supported fund operator is defined in guidance

If services are provided to a private fund and/or to a service provider of the same private fund only count this as one private fund

customer.


(6)

(7)

(8)

(9)

(10)

(11)

For example, Association of Accounting Technicians, Association of Chartered Certified Accountants, Association of International Accountants, Association of

Taxation Technicians, Chartered Institute of Management Accountants, Chartered Institute of Taxation, Insolvency Practitioners Association, Institute of

Certified Bookkeepers, Institute of Chartered Accountants in England and Wales, Institute of Chartered Accountants in Ireland, Institute of Chartered

Accountants of Scotland, Institute of Financial Accountants, International Association of Bookkeepers

To include PEPs who are third parties for whom a customer is acting, beneficial owners and controllers of such third parties, and persons acting, or

purporting to act, on behalf of the customer.

For reporting date or reporting period see guidance

To include beneficial owners or controllers of third parties for whom a customer is acting.

See Guidance

To include PEPs as defined in Article 15(6) of the MLO.


Questions should be answered on a Consolidated Basis

B1 Number of SARs handled (internally) by the MLRO/Deputy MLRO in 2016

in 2017

B2 Number of SARs submitted to the JFCU and/or overseas FIU in 2016

in 2017

B3 Average (1) number of working days taken by MLRO/Deputy MLRO in 2016

to process an internal SAR (2) in 2017

B4 Longest number of working days taken by MLRO/Deputy MLRO in 2016

to process an internal SAR (2) in 2017

B5 Number of 'no consent' responses received from the JFCU and/or overseas FIU in 2016

in 2017

B6 Number of requests for information served by the JFCU and/or overseas FIU in 2016

in 2017

B7 Number of production orders served in respect of AML/CFT matters and TIEAs in 2016

in 2017

B8 Number of disciplinary actions taken against employees in 2016

in 2017

B9

B10(a)

None

What kind of screening system has been used during the reporting period? (3) (Mark

with an X to indicate all that apply)

Automated Off the Shelf

packageAutomated Bespoke or

Developed system


Data reporting period: 1/1/2016 - 31/12/2017

Section B: Compliance data, including key risk indicators

Change to designated persons

listed under sanctions regimeChange to customer (4)

information

New customer (4)

Payments

Manual

B10(b) In line with policies, for

higher risk customers, at what point

is screening carried out?

Indicate which of the following trigger events would prompt

screening to be undertaken

(Mark with an X to indicate all that apply)

Receipt of adverse information

about customer (4) or business

relationship

Receipt of funds from new

source/payment to new third party

B-Compliance Data of 12 13/03/2018 - 13:22

Other - please specify below

B11 What is the frequency of screening of the whole database?

(1) Median

(2)

(3) To include screening for sanctions, PEPs and other information.

(4) To include parties listed in Article 3(2) of the MLO, ie (i) customers, (ii) beneficial owners and controllers of customers, (iii)

third parties on whose behalf the customer acts, and (iv) persons authorised to act on behalf of a customer

Where customer is in a group,

acquisition of, or changes to,

subsidiaries, associates and other

investments of customers

Being the period between the date of the internal SAR and the date of the external SAR or decision taken not to report.

B-Compliance Data of 12 13/03/2018 - 13:22

Questions should be answered on a Consolidated Basis

C1 Number of positive matches that have been detected in 2016

in 2017

C2 Number of positive matches that have been reported in 2016

in 2017

C3 The name(s) of the Jersey legal act in accordance with which a report was made

C4 Value of funds or other assets frozen under the Jersey sanctions regime in 2016

(in thousands of GBP) in 2017

C5 The name(s) of the Jersey legal act in accordance with which funds or other

assets were frozen


Data reporting period: 1/1/2016 - 31/12/2017

Section C: Financial sanctions

C-Financial Sanctions of 12 13/03/2018 - 13:22

ISO

CODE Country

Number of subsidiaries of the

regulated person/affiliation

leader operating in each

country



leader that are

regulated/supervised for

AML/CFT purposes

Number of branches or

representative offices of the


that are


AML/CFT purposes

Number of PEPs by country,

who are customers or

beneficial owners and

controllers of customers,

where property of the PEP is

handled in the business

relationship or one-off

transaction





where no property of the

PEP is handled in the

business relationship or one-

off transaction

A14 A15 A16 A23(a) A23(b)

4 Afghanistan

248 Aland Islands

8 Albania

12 Algeria

16 American Samoa

20 Andorra

24 Angola

660 Anguilla

10 Antarctica

28 Antigua and Barbuda

32 Argentina

51 Armenia

533 Aruba

36 Australia

40 Austria

31 Azerbaijan

44 Bahamas

48 Bahrain

50 Bangladesh

52 Barbados

112 Belarus

56 Belgium

84 Belize

204 Benin

60 Bermuda

64 Bhutan

68 Bolivia

535 Bonaire, Sint Eustatius and Saba

70 Bosnia and Herzegovina

72 Botswana

74 Bouvet Island

76 Brazil

86 British Indian Ocean Territory

96 Brunei Darussalam

100 Bulgaria

854 Burkina Faso

108 Burundi

116 Cambodia

120 Cameroon

124 Canada

132 Cape Verde

136 Cayman Islands

140 Central African Republic

148 Chad

152 Chile

156 China

162 Christmas Island

166 Cocos (Keeling) Islands

170 Colombia

174 Comoros

180 Congo (Democratic Republic of)

178 Congo

184 Cook Islands

188 Costa Rica

384 Cote d'Ivoire

191 Croatia

192 Cuba

531 Curacao

196 Cyprus

203 Czech Republic

208 Denmark

262 Djibouti

212 Dominica

214 Dominican Republic

218 Ecuador

818 Egypt

222 El Salvador

226 Equatorial Guinea

232 Eritrea

233 Estonia


Data reporting date: 31/12/2017

Section D: Country list

D-Country List of 12 13/03/2018 - 13:22

ISO

CODE Country




country



leader that are


AML/CFT purposes




that are


AML/CFT purposes








transaction








off transaction

A14 A15 A16 A23(a) A23(b)

231 Ethiopia

238 Falkland Islands

234 Faroe Islands

242 Fiji

246 Finland

250 France

254 French Guyana

258 French Polynesia

260 French Southern Territories

266 Gabon

270 Gambia

268 Georgia

276 Germany

288 Ghana

292 Gibraltar

300 Greece

304 Greenland

308 Grenada

312 Guadeloupe

316 Guam

320 Guatemala

831 Guernsey

324 Guinea

624 Guinea Bissau

328 Guyana

332 Haiti

334 Heard Island and McDonald Islands

336 Holy See (Vatican City State)

340 Honduras

344 Hong Kong

348 Hungary

352 Iceland

356 India

360 Indonesia

364 Iran

368 Iraq

372 Ireland

833 Isle of Man

376 Israel

380 Italy

388 Jamaica

392 Japan

832 Jersey

400 Jordan

398 Kazakhstan

404 Kenya

296 Kiribati

408 Korea (North)

410 Korea (South)

414 Kuwait

417 Kyrgyzstan

418 Lao

428 Latvia

422 Lebanon

426 Lesotho

430 Liberia

434 Libya

438 Liechtenstein

440 Lithuania

442 Luxembourg

446 Macau

807 Macedonia

450 Madagascar

454 Malawi

458 Malaysia

462 Maldives

466 Mali

470 Malta

584 Marshall Islands

474 Martinique

478 Mauritania

480 Mauritius

175 Mayotte

484 Mexico

583 Micronesia

D-Country List of 12 13/03/2018 - 13:22

ISO

CODE Country




country



leader that are


AML/CFT purposes




that are


AML/CFT purposes








transaction








off transaction

A14 A15 A16 A23(a) A23(b)

498 Moldova

492 Monaco

496 Mongolia

499 Montenegro

500 Montserrat

504 Morocco

508 Mozambique

104 Myanmar

516 Namibia

520 Nauru

524 Nepal

528 Netherlands

540 New Caledonia

554 New Zealand

558 Nicaragua

562 Niger

566 Nigeria

570 Niue

574 Norfolk Island

580 Northern Mariana Islands

578 Norway

512 Oman

586 Pakistan

585 Palau

275 Palestine

591 Panama

598 Papua New Guinea

600 Paraguay

604 Peru

608 Philippines

608 Pitcairn Island

616 Poland

620 Portugal

630 Puerto Rico

634 Qatar

638 Reunion

642 Romania

643 Russian Federation

646 Rwanda

652 Saint Barthelemy

654 Saint Helena, Ascension and Trista

659 Saint Kitts & Nevis Anguilla

662 Saint Lucia

663 Saint Martin (French part)

666 Saint Pierre and Miquelon

670 Saint Vincent and the Grenadines

882 Samoa

674 San Marino

678 Sao Tome and Principe

682 Saudi Arabia

686 Senegal

688 Serbia

690 Seychelles

694 Sierra Leone

702 Singapore

534 Sint Maarten (Dutch part)

703 Slovakia

705 Slovenia

90 Solomon Islands

706 Somalia

710 South Africa

239 South Georgia and the South Sandwich Islands

728 South Sudan

724 Spain

144 Sri Lanka

729 Sudan

740 Suriname

744 Svalbard and Jan Mayen Islands

748 Swaziland

752 Sweden

756 Switzerland

760 Syria

158 Taiwan

762 Tajikistan

834 Tanzania

D-Country List of 12 13/03/2018 - 13:22

ISO

CODE Country




country



leader that are


AML/CFT purposes




that are


AML/CFT purposes








transaction








off transaction

A14 A15 A16 A23(a) A23(b)

764 Thailand

626 Timor-Leste

768 Togo

772 Tokelau

776 Tonga

780 Trinidad and Tobago

788 Tunisia

792 Turkey

795 Turkmenistan

796 Turks and Caicos Islands

798 Tuvalu

800 Uganda

804 Ukraine

784 United Arab Emirates

826 United Kingdom

581 United States Minor Outlying Islands

840 United States of America

858 Uruguay

860 Uzbekistan

548 Vanuatu

862 Venezuela

704 Vietnam

92 Virgin Islands (British)

850 Virgin Islands (USA)

876 Wallis and Futuna Islands

732 Western Sahara

887 Yemen

894 Zambia

716 Zimbabwe

D-Country List of 12 13/03/2018 - 13:22

Question

Number of COBO Only funds that are

likely to terminate by 31/12/20

Number of PPFs that are likely to

terminate by 31/12/20

Number of VPFs that are likely to

terminate by 31/12/20

A21

Total number of customers as at the

reporting date or during the year ended

on the reporting date

A22Total number of unique beneficial

owners and controllers of customers

A23(a)

Number of unique PEPs by country, who

are customers or beneficial owners and

controllers of customers, where

property of the PEP is handled in the

business relationship or one-off

transaction

A23(b)

Number of unique PEPs by country, who

are customers or beneficial owners and

controllers of customers, where no

property of the PEP is handled in the

business relationship or one-off

transaction

Reporting Entities may wish to provide information regarding the basis on which they have calculated these numbers

Reporting entities should provide an explanation of the basis on which they have calculated these numbers if it is not in line

with the guidance provided

NOTE: the JFSC is not seeking to collect any personal details such as names of individuals.

However, should any such data be supplied the JFSC has a legal duty to protect any information we collect from you. We use leading

technologies and security processes to safeguard your data, and follow strict security standards to prevent any unauthorised access to

it.

A9

Please provide in the relevant spaces below any explanations you consider will assist the JFSC

in understanding your data submission.

E-Comments of 12 13/03/2018 13:22

aml/cft data collection questionnaire phase 1 of … · aml/cft data collection questionnaire phase...

Documents