This document outlines the due diligence review guidelines for self-certification of entities, specifically for Southern Financial, LLC, adopted in the UK. It includes a checklist of questions to ensure compliance with mandatory requirements and instructions for handling non-compliance. The document emphasizes the importance of matching information with KYC/AML records and provides instructions for rejecting forms that do not meet the criteria.
documents/vol00010-efta01368153-pdf.pdf
{"title":"Due Diligence Review Guidelines For Self-Certification - Entity","document_date":"2018-04-16","document_type":"correspondence","key_locations":["UK"],"document_subtype":"Due Diligence Review Guidelines","key_organizations":["Southern Financial, LLC"],"reference_numbers":["1007406812"]}