KYC Compliance Questionnaire

KYC COMPLIANCE QUESTIONNAIRE

This KYC Compliance Questionnaire ("Questionnaire") is entered into between Customer: with registered address: and Provider: with principal place of business: Effective Date:

RECITALS

WHEREAS, Provider maintains compliance policies and procedures designed to satisfy applicable anti‑money laundering, counter‑terrorist financing and know‑your‑customer obligations; and

WHEREAS, Customer seeks to establish or continue a business relationship with Provider and must supply information and certifications reasonably necessary for Provider to satisfy legal and regulatory KYC obligations; and

WHEREAS, the parties intend for this Questionnaire to record information, representations and supporting facts to enable Provider's KYC review and ongoing monitoring.

NOW THEREFORE, in consideration of the mutual promises contained herein and other good and valuable consideration, the parties agree as follows:

1. DEFINITIONS

For purposes of this Questionnaire, "Beneficial Owner" means any natural person who, directly or indirectly, owns or controls 25% or more of the equity of Customer or who otherwise exercises significant influence or control over Customer. "PEP" means a Politically Exposed Person as defined by applicable law and Provider's policies. Other capitalized terms shall have the meanings set forth in this Questionnaire.

2. CUSTOMER IDENTIFICATION

3. OWNERSHIP AND ENTITY TYPE

Indicate legal form (select all that apply):

Corporation
Limited Liability Company (LLC)
Partnership
Trust
Individual / Sole Proprietor
Other (describe below)

4. BENEFICIAL OWNERS

List all beneficial owners holding 25% or more of ownership, control persons, and any natural person who exercises significant influence. Provide full legal name, percentage ownership, nationality, date of birth, and principal address.

5. POLITICALLY EXPOSED PERSONS

Does Customer or any beneficial owner qualify as a Politically Exposed Person (PEP)?

Yes, Customer or one or more beneficial owners are PEPs
No PEPs

6. SOURCE OF FUNDS AND TRANSACTION PROFILE

Describe the principal source(s) of funds and expected transaction activity (nature, expected volumes, jurisdictions involved).

7. ANTI‑MONEY LAUNDERING / COMPLIANCE PROGRAM

Describe Customer's AML/CFT/compliance program, including transaction monitoring, internal controls, and whether independent AML audits are performed.

8. SANCTIONS, ADVERSE MEDIA, AND THIRD‑PARTY RISKS

To the best of Customer's knowledge after reasonable inquiry, confirm whether Customer or any beneficial owner is subject to sanctions, watchlists, or adverse media that would reasonably be expected to affect the relationship.

Yes, there is relevant sanctions/watchlist/adverse media exposure
No such exposure identified

9. RECORDS, REPORTING AND COOPERATION

Customer acknowledges that Provider must retain records, report suspicious activity to competent authorities as required by law, and may suspend or terminate business relationships where regulatory concerns arise. Customer will cooperate with requests for additional documentation or clarifications.

10. REPRESENTATIONS AND WARRANTIES

Customer represents and warrants that the information provided in this Questionnaire is complete, true and correct as of the Effective Date; that Customer will promptly notify Provider of any material change in the facts or documentation supplied; and that Customer is not engaged in any activity that would knowingly facilitate money laundering, terrorist financing, sanctions evasion or other unlawful activity.

11. CONFIDENTIALITY

Except as required by law or regulation, Provider shall treat Customer information as confidential and shall not disclose such information except to its affiliates, auditors, legal advisors or competent authorities in connection with compliance obligations. Customer acknowledges and consents to such disclosures for compliance purposes.

12. NOTICES

All notices under this Questionnaire shall be in writing and delivered to the addresses set forth below or to such other addresses as either party designates in writing.

13. MISCELLANEOUS PROVISIONS

Governing Law: This Questionnaire shall be governed by and construed in accordance with the laws of the state or jurisdiction specified by Provider in its onboarding materials, without regard to conflict of law principles. The parties submit to the exclusive jurisdiction of the courts of that jurisdiction for disputes arising under this Questionnaire.

Entire Agreement: This Questionnaire constitutes the entire agreement between the parties with respect to the subject matter hereof and supersedes all prior agreements and understandings, whether written or oral, relating to the same subject matter.

Severability: If any provision of this Questionnaire is held invalid or unenforceable, such provision shall be severed and the remainder of this Questionnaire shall remain in full force and effect.

Amendments and Waiver: No amendment, modification or waiver of any provision of this Questionnaire shall be effective unless in writing and signed by both parties. No failure or delay by a party in exercising any right shall operate as a waiver of that right.

Counterparts: This Questionnaire may be executed in counterparts, each of which shall be deemed an original, and all of which together shall constitute one instrument.

14. CERTIFICATION

The undersigned certify, on behalf of Customer, that the information provided in this Questionnaire is true, complete and accurate to the best of their knowledge and belief; that they are authorized to provide such information; and that Customer will promptly notify Provider of any material changes. The undersigned understand that knowingly providing false information may constitute a violation of law and may subject Customer and the undersigned to penalties.

Additional certifications (check all applicable):

Information provided is accurate and complete
Customer will update Provider within 30 days of any material change
Customer will cooperate with lawful requests for additional documentation or clarifications

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