Compliance Questionnaire

This Compliance Questionnaire will be used to initiate your compliance journey. Next steps include a Risk Assessment and then development of your Risk and Compliance Management Program (RMCP). We can also develop your POPIA and PAIA manuals on demand.

RoutineUrgent

Regulatory Body

SALPC - South African Legal Practice CouncilPPRA - Property Practitioners Regulatory AuthoritySAICA - South African Institute of Chartered AccountantsCIBA - Chartered Institute for Business AccountantsSAIPA - The South African Institute of Professional Accountants

Business Name (trading)

Your name

Your email

Sole ProprietorPartnershipIncorporated Company (Inc)Private Company (Pty)Listed Company (Public Ltd)

Registered Business Name

Business Registration Number ccyy/123456/xy

COMPLIANCE

Most recent goAML access date ccyy-mm-dd

FIC ORG ID

goAML SHREG number

Risk Compliance Return (RCR) submitted date ccyy-mm-dd

Compliance Officer Name & ID

Compliance Officer goAML Liasion Email

Compliance Officer has an assistant (name)

Shareholders

For each owner / shareholder, list NAME & ID

Directors

For each director, list NAME & ID

Branches

For each branch, list Municipality

File storage facilities (including main business address)

Business name, address and contact details
Please note that this information will be verified by FIC against other external records such as SARS, CIPC and the SALPC.

Services Provided
(List Practice Areas) Be specific: Litigation / Commercial / Conveyancing / Criminal / Family / Copyright / Insolvency / Insurance / Medical Malpractice / Deceased Estates / Maritime / Personal Injury (RAF)

We register Trusts with a Master's OfficeWe found and maintain companies at CIPCNone of the above

State of current compliance activities

Basic KYC (please specify? manual / software etc)

How do you screen for adverse media (please specify?)

How do you screen for Targeted Financial Sanctions (TFS) (please specify?)

Directive 8 - List Employees, designations and qualifications

HR Manager (name and contact

Current Risks

Describe your process for tracing Cash Deposits into your bank account?

Name and contact of the person who is responsible for signing off on high risk clients?

Any additional information? (optional)

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