Compliance AML Forms

COMPLIANCE ANTI-MONEY LAUNDERING (AML) AGREEMENT

This Compliance Anti-Money Laundering Agreement (the Agreement) is entered into on by and between:

Client Name:

Service Provider Name:

WHEREAS

1. WHEREAS the Service Provider conducts certain compliance, KYC and AML screening and monitoring services, and the Client seeks to obtain such services and to provide required client and beneficial owner information to permit compliance with applicable anti-money laundering laws and regulations.

2. WHEREAS the parties intend to document their respective obligations regarding the collection, verification, retention, reporting and protection of information required for AML compliance and agree to the terms set forth in this Agreement.

3. WHEREAS the parties acknowledge that accurate identification and disclosure of beneficial owners and the performance of risk-based due diligence is essential to the lawful provision of services under this Agreement.

SCOPE OF WORK

Services include, without limitation, customer identification and verification (KYC), beneficial owner identification, sanctions and watchlist screening, ongoing transaction monitoring, preparation of suspicious activity reports for escalation to the Client's compliance officer, and record retention pursuant to this Agreement.

CLIENT IDENTIFICATION & KYC

Individual Corporation Trust Partnership Other

RISK ASSESSMENT & SCREENING

Low Medium High

Yes No Pending

DOCUMENTS PROVIDED

Government-issued ID Proof of Address Articles of Incorporation / Formation Ownership / Shareholder List

PAYMENT TERMS

Invoicing shall be issued in accordance with the Payment Schedule. Client shall pay undisputed invoices within the payment terms set forth above. Late payments shall accrue interest at the Late Payment Fee rate and the Client shall reimburse the Service Provider for reasonable collection costs.

TERM AND TERMINATION

Either party may terminate this Agreement for convenience upon providing the required notice in writing. Either party may terminate immediately for material breach of AML obligations, failure to provide required KYC information, or violation of applicable law. Termination does not relieve the Client of payment obligations for services performed or costs reasonably incurred prior to termination.

CONFIDENTIALITY

Each party shall maintain the confidentiality of non-public information provided in connection with this Agreement and shall not disclose such information except (i) to employees, agents or subcontractors who have a need to know and are bound by confidentiality obligations, (ii) as required by law, regulation or valid legal process, or (iii) with the prior written consent of the disclosing party. The Service Provider shall implement reasonable administrative, technical and physical safeguards to protect Client information consistent with industry standards.

RECORD RETENTION & REPORTING

The Service Provider will retain records generated under this Agreement for the Record Retention Period and will provide records to the Client or competent authorities as required by applicable law. The Service Provider will notify the Client of any suspicious transaction reports or regulatory inquiries arising from Client transactions, except where such notification is prohibited by law.

CERTIFICATIONS, REPRESENTATIONS AND WARRANTIES

The Client certifies that all information and documentation provided to the Service Provider is true, complete and not misleading, and that the Client will promptly update the Service Provider of any changes. The Client represents that it is not subject to sanctions and is not involved in unlawful conduct. The Service Provider represents that it will perform services consistent with professional standards and applicable AML laws.

GOVERNING LAW; ENTIRE AGREEMENT

Governing Law: This Agreement shall be governed by and construed in accordance with the laws of , without regard to conflict of laws principles.

Entire Agreement: This Agreement, including all schedules and exhibits, constitutes the entire agreement between the parties with respect to its subject matter and supersedes all prior and contemporaneous agreements, understandings and negotiations, whether written or oral. No amendment shall be effective except in a writing signed by both parties.

MISCELLANEOUS PROVISIONS

Severability: If any provision of this Agreement is held unenforceable, the remaining provisions shall remain in full force and effect. Assignment: Neither party may assign this Agreement without the prior written consent of the other, except to a successor of substantially all assets or business to which this Agreement relates.

ACKNOWLEDGMENT AND SIGNATURES

The undersigned hereby represent and warrant that they are authorized to execute this Agreement on behalf of the party for which they sign and that the information provided herein is accurate to the best of their knowledge.

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