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QuestionnaireBased on

The Prevention and Suppression of Money Laundering

Activities Law of 2007 as amended in 2010, 2012 and

2013; and The Law Regulating Companies Providing

Administrative Services and Related Matters of 2012 as

amended in 2013

(Together referred to in this questionnaire as the “Law”)

QuestionnaireAlso based on

“Prevention and Suppression of Money Laundering

Activities” directive to the members of IPCAC issues by the

“The Institute of Certified Public Accountants of Cyprus”

(Together referred to in this questionnaire as the

“Directive”)

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Purpose of questionnaire

Purpose of Questionnaire

All supervisory authorities are

implementing a Risk Based Approach as

regards the supervision of their

members and according to the AML law.

Risk Based Approach - RBA

Risk Based Approach

The Risk Based Approach is applied both

Off-site with this Questionnaire

and On-Site with ACCA audits

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Purpose of the Questionnaire

The Off-site evaluation is done with the

Questionnaire which allows the Institute

to categorise it’s members to High,

Medium and Low Risk

Off-site Risk Categorisation

The Risk Categorisation allows the

institute to decide on the frequency of

the audits of the members as well as the

depth of the On-site audit

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On-site Risk Categorisation

The Risk Categorisation can change

according to the findings of the On-site

audit

Questionnaire Sections

Sections of Questionnaire

1.GENERAL INFORMATION

2.PROCEDURES

3.STATISTICS

4.OTHER COMMENTS

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Questionnaire

Almost all the fields of the questionnaire are

mandatory

Depending on the selection, more fields might

be presented

If fields are left empty and Next is selected to

proceed on the next page, then an error

message is provided and the questionnaire

remains on the page with the missing data

Questionnaire

Sections of Questionnaire

1.GENERAL INFORMATION

2.PROCEDURES

3.STATISTICS

4.OTHER COMMENTS

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Firm Name

MANDATORY FIELD

General Practising Certificate

MANDATORY FIELD

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Auditing Certificate

NOT A MANDATORY FIELD

ASP Certificate

NOT A MANDATORY FIELD

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Compliance Officer Name

MANDATORY FIELD

Compliance Officer Status

MANDATORY FIELD

Directive

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CO Name communicated to MOKAS

MANDATORY FIELD

Directive

No of Principals

MANDATORY FIELD

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No of staff

MANDATORY FIELD

No of offices

MANDATORY FIELD

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Annual turnover

MANDATORY FIELD

Lawyer

MANDATORY FIELD

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No of Clients

MANDATORY FIELD

No of new Clients

MANDATORY FIELD

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No of Client Accounts

MANDATORY FIELD

Responsibilities

MANDATORY FIELD

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PEPs

MANDATORY FIELD

Shall we talk a bit about PEPs

Screening S/W

MANDATORY FIELD

If the answer to the above question is yes then the following question appears

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Client Administration S/W

MANDATORY FIELD

Quality System

MANDATORY FIELD

If the answer to the above question is yes then the following question appears

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Internal Audit

If the answer to the above question is yes then the following question appears

MANDATORY FIELD

If the answer to the above question is yes then the following question appears

External Audit

MANDATORY FIELD

If the answer to the above question is yes then the following question appears

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Convictions

If the answer to the above question is yes then the following question appears

MANDATORY FIELD

Questionnaire

Sections of Questionnaire

1.GENERAL INFORMATION

2.PROCEDURES

3.STATISTICS

4.OTHER COMMENTS

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AML Manual

MANDATORY FIELD

If the answer to the above question is yes then the request is

Furthermore the question on the next slide appears

And the option to upload the AML Manual is provided

Directive

AML Manual

MANDATORY FIELD

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Third Parties

MANDATORY FIELD

If the answer to the above question is yes then the following question appears

Economic Profile

MANDATORY FIELD

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Questionnaire

Shall we say more about THE

ECONOMIC PROFILE?

Client’s Bank Accounts

MANDATORY FIELD

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Enhanced Due Diligence (EDD)

MANDATORY FIELD

Questionnaire

Sections of Questionnaire

1.GENERAL INFORMATION

2.PROCEDURES

3.STATISTICS

4.OTHER COMMENTS

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Risk Categorization

MANDATORY FIELD

Client Country of origin

MANDATORY FIELD

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Questionnaire

PEPs country of origin

MANDATORY FIELD

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Suspicion Reports

MANDATORY FIELD

AML Training

MANDATORY FIELD

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Questionnaire

Sections of Questionnaire

1.GENERAL INFORMATION

2.PROCEDURES

3.STATISTICS

4.OTHER COMMENTS

Satisfaction

MANDATORY FIELD

If the answer to the above question is yes then the following question appears

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Comments

Information

MANDATORY FIELD

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Questionnaire

Submit your survey.

Thank you for completing this survey.