Legal AML Compliance Forms

AML COMPLIANCE AND CERTIFICATION FORM

This AML Compliance Agreement (the Agreement) is entered into as of Effective Date: by and between Company Name: , organized as: Entity Type: Corporation LLC Partnership Other, with principal address: (Company), and Compliance Service Provider Name: , with principal address: (Provider). Company and Provider are each a Party and collectively the Parties.

RECITALS

WHEREAS, Company conducts business that involves handling customer funds, deposits or transactions capable of facilitating money laundering or terrorist financing; and

WHEREAS, Provider represents that it maintains policies, procedures, systems, and personnel qualified to assist the Company with establishing and maintaining an anti-money laundering (AML) compliance program consistent with applicable law and risk-based standards; and

WHEREAS, the Parties wish to set forth the obligations, certifications and procedures to be followed by Company and Provider to satisfy Customer Due Diligence, Beneficial Ownership identification, Suspicious Activity Reporting and Sanctions Screening obligations;

NOW, THEREFORE, in consideration of the mutual covenants contained herein and other good and valuable consideration, the Parties agree as follows.

1. DEFINITIONS

For purposes of this Agreement, the following terms have the meanings set forth below: "AML Program" means the set of written policies, procedures and controls required to detect, prevent and report money laundering, terrorist financing and other illicit finance activity; "Beneficial Owner" means each individual who, directly or indirectly, owns or controls the customer in accordance with applicable beneficial ownership rules; "SAR" means Suspicious Activity Report or equivalent filing required by applicable law.

2. COMPLIANCE PROGRAM REQUIREMENTS

Company shall maintain, and review at least annually, a written AML Program that includes: (a) internal policies, procedures and controls reasonably designed to achieve compliance with applicable AML laws; (b) designation of a qualified compliance officer responsible for day-to-day compliance; (c) a customer identification program; (d) ongoing monitoring and risk-based customer due diligence; and (e) a system for timely filing of SARs and required reports to applicable authorities. Company Compliance Officer Name:

3. CUSTOMER DUE DILIGENCE (CDD)

Company shall implement CDD procedures requiring identification and verification of customers to a standard commensurate with the assessed risk. For each new customer, Company shall collect: Customer Legal Name: ; Date of Birth: ; Address: ; Identification Provided: . Company will verify identity using reliable, independent source documents, data or information.

4. BENEFICIAL OWNERSHIP

Company shall identify and verify the beneficial owners of legal entity customers consistent with applicable beneficial ownership regulations. For each beneficial owner, Company shall retain: Full Name: ; Date of Birth: ; Ownership Percentage: %; Identification Type and Number: .

5. SUSPICIOUS ACTIVITY REPORTING

Company shall file SARs in a timely manner when it detects known or suspected violations that meet the statutory or regulatory thresholds. Company shall notify Provider within a commercially reasonable time of any internal determinations to file or decline to file an SAR when such notification does not compromise the filing obligation.

6. RECORDKEEPING AND RETENTION

Company shall retain records created pursuant to this Agreement and applicable AML rules for a minimum retention period of Retention Period (years): years, or such longer period as required by law. Records shall be made available to authorized auditors or regulators upon lawful request.

7. SANCTIONS AND WATCHLIST SCREENING

Company represents and warrants that it will screen customers and beneficial owners against applicable sanctions, watchlists and specially designated nationals lists on a risk-based and ongoing basis. Company confirms that pre-account-opening screening is performed: Yes Ongoing. Document the screening method:

8. TRAINING AND INTERNAL CONTROLS

Company shall provide AML training tailored to job function to all relevant employees, including detection of red flags, SAR filing, and sanctions compliance. Describe frequency of training: . Company shall maintain written internal controls, with escalation procedures for potential violations.

9. INDEPENDENT AUDIT AND OVERSIGHT

Company shall conduct periodic independent testing of its AML Program by internal audit or an independent third party at intervals commensurate with risk but not less frequently than every Audit Interval (years): years. Results of such testing shall be reported to the Board of Directors or equivalent governing body.

10. CERTIFICATIONS AND ATTESTATIONS

The undersigned authorized representative of Company certifies, under penalty of law, that the information provided in any accompanying customer onboarding records and this Form is true, correct and complete to the best of the undersigned's knowledge. The undersigned further certifies that Company has implemented the AML Program described above and will maintain required records and monitoring.

Certification: Company maintains an AML Program as described

Attestation: Company has collected and verified beneficial ownership information as required

11. NOTICES

All notices required or permitted under this Agreement shall be in writing and delivered to the addresses below by certified mail, overnight courier or hand delivery. Notice to Company:

12. AMENDMENT; WAIVER

No amendment or waiver of any provision of this Agreement shall be effective unless in writing and signed by both Parties. Failure to exercise any right shall not constitute a waiver of that right.

13. GOVERNING LAW; ENTIRE AGREEMENT; SEVERABILITY

This Agreement shall be governed by and construed in accordance with the laws of Governing State: without regard to conflict of law principles. This Agreement constitutes the entire agreement between the Parties with respect to its subject matter and supersedes all prior agreements. If any provision is held invalid, illegal or unenforceable, the remaining provisions shall remain in full force and effect.

14. COUNTERPARTS

This Agreement may be executed in counterparts, each of which will be deemed an original, and all of which together constitute one and the same instrument.

ADDITIONAL DETAILS / NOTES

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