Client Due Diligence Checklist

CLIENT DUE DILIGENCE CHECKLIST

This Client Due Diligence Checklist ("Checklist") documents the due diligence performed in connection with the engagement between Client Name: and Firm Name: . Engagement Date: .

Recitals

WHEREAS, Client seeks to engage Firm to provide professional services as described in the engagement letter and those services require Firm to conduct client due diligence and satisfy applicable anti-money laundering, counter-terrorism financing, sanctions screening and related regulatory obligations; and

WHEREAS, Firm requires satisfactory documentation and representations from Client in order to accept and continue the engagement and to maintain records and monitoring consistent with Firm policies and applicable law; and

WHEREAS, the parties wish to record the scope and outcome of the due diligence performed as of the Engagement Date identified above.

NOW THEREFORE, in consideration of the mutual covenants contained herein, the parties agree as follows:

1. Scope of Due Diligence

1.1 Firm has conducted reasonable due diligence appropriate to the nature of the engagement, which includes verification of identity, assessment of beneficial ownership, screening against sanctions and politically exposed persons lists, review of source of funds and source of wealth, and review of relevant corporate or trust documentation where applicable. The scope of checks required and performed is set out in this Checklist.

2. Client Identity and Verification

2.1 Identity documents received and reviewed (check all that apply):

Passport or national identity card provided

Driver's license provided

Secondary identity document (e.g., government-issued ID, birth certificate) provided

3. Beneficial Ownership and Entity Documentation

3.1 For corporate, partnership, trust, or other non-natural person clients, the following items were requested and reviewed as applicable:

Corporate registry extract or equivalent

Articles of incorporation / formation documents

Bylaws / operating agreement / partnership agreement

Shareholder / member register indicating ownership percentages

4. Source of Funds and Source of Wealth

4.1 Client has provided documentation supporting the source of funds for anticipated transactions and, where required, broader source of wealth documentation. Firm has assessed whether the provided information is consistent with the expected profile of the client.

Bank statements received

Employment or business income documentation received

Sale of assets / investment proceeds documentation received

5. Screening and Risk Assessment

5.1 The following screening and risk-assessment steps were completed:

Sanctions screening completed

Politically exposed persons (PEP) screening completed

Adverse media checks completed

6. Ongoing Monitoring and Review

6.1 Firm will apply ongoing monitoring commensurate with the assessed risk. The parties acknowledge the monitoring frequency set out below and the conditions that will trigger an enhanced review.

7. Record Retention and Confidentiality

7.1 Firm will retain copies of identity documents, due diligence notes, screening results and related records for the period required under applicable law and Firm policy. Client consents to such retention and to Firm's use of the information for compliance and recordkeeping purposes.

7.2 Firm will maintain the confidentiality of Client information in accordance with the engagement letter, except where disclosure is required by law, regulation, or for compliance with sanctions, tax or public authorities.

8. Representations and Warranties

8.1 Client represents and warrants that all information and documentation provided to Firm is true, complete and not misleading in any material respect as of the Engagement Date and that Client will promptly notify Firm of any material changes.

8.2 Firm's acceptance of this Checklist and continuation of the engagement is conditioned upon the accuracy of Client representations and Firm's satisfaction with the due diligence performed. Firm reserves the right to decline or terminate the engagement where due diligence results or subsequent information indicate unacceptable compliance or reputational risk.

9. Findings and Conclusion

9.1 Summary of findings (select applicable and provide summary):

No material issues identified

Minor issues identified (mitigated)

High risk or unresolved issues identified

10. Notices, Amendments, Waiver

10.1 Notices under this Checklist shall be in writing and delivered to the addresses specified below. Any amendment or waiver of this Checklist must be in writing and signed by both parties. Failure to insist upon strict performance of any provision is not a waiver of any right.

11. Governing Law; Entire Agreement; Severability; Counterparts

11.1 Governing Law. This Checklist shall be governed by and construed in accordance with the laws of the jurisdiction specified in the engagement letter between the parties, without regard to conflict of laws principles.

11.2 Entire Agreement. This Checklist, together with the engagement letter, constitutes the entire agreement between the parties with respect to the subject matter hereof and supersedes all prior understandings and agreements, whether written or oral, concerning such subject matter.

11.3 Severability. If any provision of this Checklist is held to be invalid or unenforceable in any respect, the validity and enforceability of the remaining provisions shall not be affected.

11.4 Counterparts. This Checklist may be executed in counterparts, each of which shall be an original but all of which together constitute one and the same instrument.

Acknowledgment

By signing below, Client and Firm acknowledge that they have reviewed the due diligence recorded in this Checklist, that the information provided is accurate to the best of their knowledge, and that they understand Firm's rights to decline or terminate services where client information is unsatisfactory.

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