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- 1. Multiple Choice
If we can’t find a contact person for entity under investigation in Portal for BI, GS and Internationals, we should:
Ask RM to provide the correct contact person
Ask Advisors/Client Managers for contact person
Check company/ies above the entity under investigation
If there are no contact details recorded anywhere till the top parent – transfer case to Advisors/Client Managers
- 2. Multiple Choice
If during investigation analyst identifies changes in group structure, he/she should:
Send group chart that we already have to customer, no need to update it based on open sources
Attach the group chart that we have even if it does not reflect ownership of all entities and specify what you are missing in a request to customer
Validate group chart with open sources and amend it prior sending it to customer
Ask C&I customers to provide a new group chart as amending one will take too much time
- 3. Multiple Choice
The new software, that will replace Adobe Acrobat:
Doxit
Dogsit
Foxit
FireFoxit
- 4. Multiple Choice
When we need to send FATCA/CRS form to the customer:
We never prefill anything in the FATCA/CRS form
Prefill it with customer’s name only
Prefill it with customer’s name, registration number and address
Prefill it with customer’s name, registration number, tax residency and address
- 5. Multiple Choice
Where can we find the list of people who have access to raise/reduce customers’ risk score manually in the Portal?
In Knowledge Sharing Tool
Under “Responsibilities” tab in the teamsite
In “Units to contact in Due Diligence process” navigation sheets
In SOP addendum 2021
- 6. Multiple Choice
How to check if customer account(s) is(are) blocked (for Banking customers)?
Separate field in Tableau in the overview of accounts section
Blocked cases are still sent for customer contact
In Portal, near the account, hovering your mouse over the “i” sign
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