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AML/CTF Risk Assessment
Complete all applicable sections and submit the assessment.
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1. Application Details
Date of Application
*
Assessment Reference No.
*
Applicant / Client Full Name
*
Business Structure / Trading Name
*
ABN / ACN
*
Mobile Number
*
Email Address
*
Residential / Business Address
*
Completed By (Assessor Name)
*
Assessor Signature Date
*
2. Identity Verification - AML/CTF Requirement
Has Identity Verification (ID) Been Performed?
*
Yes
No
Method of ID Verification
*
Please select
Driver Licence
Passport
Medicare Card
Electronic Verification
Other
Is the ID Verified and Satisfactory?
*
Yes
No
Notes on Identity Verification
3. Beneficial Ownership Assessment
Type of Entity
*
Please select
Individual
Company
Trust
Partnership
Sole Trader
Other
Complexity of Structure
*
Please select
Simple
Moderate
Complex
Has Beneficial Owner(s) Been Identified?
*
Yes
No
Name(s) of Beneficial Owner(s)
*
Ownership Percentage(s)
*
How Was Beneficial Ownership Verified?
*
Are There Any Nominee Shareholders or Directors?
*
Yes
No
Any Foreign Beneficial Owner, Director or Offshore Structure?
*
Yes
No
Foreign Country / Jurisdiction
Beneficial Ownership Risk Level
*
Please select
Low
Medium
High
Proposed Mitigation Measures
Can the Risk Be Adequately Mitigated?
Yes
No
If Risk Cannot Be Mitigated - Can the Client Still Be Accepted?
Yes
No
If Yes - Provide Justification for Acceptance
4. Geographic Risk Assessment
Country of Residence / Registration
*
Country of Incorporation
Countries Where Business Operates
*
Any Dealings with Sanctioned Countries?
*
Yes
No
Any Dealings with FATF Grey/Black List Jurisdictions?
*
Yes
No
Country Risk Rating
*
Please select
Low
Medium
High
Geographic Risk Level (Overall)
*
Please select
Low
Medium
High
Proposed Mitigation Measures
Can the Risk Be Adequately Mitigated?
Yes
No
If Risk Cannot Be Mitigated - Can the Client Still Be Accepted?
Yes
No
If Yes - Provide Justification
5. Entity Risk
Entity Risk Level
*
Please select
Low
Medium
High
Reasons / Basis for Risk Assessment
Proposed Mitigation Measures
Can the Risk Be Adequately Mitigated?
Yes
No
If Risk Cannot Be Mitigated - Can the Client Still Be Accepted?
Yes
No
If Yes - Provide Justification for Acceptance
6. Customer Activity & Purpose Risk
Nature / Description of Business Activities
*
Purpose of Requested Service(s)
*
Expected Annual Turnover (AUD)
*
Expected Transaction Volume
*
Please select
Low
Medium
High
Is This a Cash-Intensive Business?
*
Yes
No
Any Cryptocurrency or Digital Asset Activities?
*
Yes
No
Any International Funds Transfers Expected?
*
Yes
No
Customer Activity Risk Level
*
Please select
Low
Medium
High
Proposed Mitigation Measures
Can the Risk Be Adequately Mitigated?
Yes
No
If Risk Cannot Be Mitigated - Can the Client Still Be Accepted?
Yes
No
If Yes - Provide Justification
7. Service Risk
Type of Service(s) Requested
*
Please select
Company Incorporation
Change of Director
Change of Shareholder
Registered Office Service
Business Name Registration
GST / PAYG Registration
BAS Agent Services
Tax Agent Services
Multiple Services
Trust Establishment or Administration
Foreign Entity Services
Cryptocurrency / Digital Asset Entity
Other
Service Risk Level
*
Please select
Low
Medium
High
Reasons / Basis for Risk Assessment
Proposed Mitigation Measures
Can the Risk Be Adequately Mitigated?
Yes
No
If Risk Cannot Be Mitigated - Can the Client Still Be Accepted?
Yes
No
If Yes - Provide Justification for Acceptance
8. Politically Exposed Person (PEP) Risk
Is the Applicant or a Related Party a Politically Exposed Person?
*
Yes
No
PEP Risk Level
*
Please select
Low
Medium
High
How Was PEP Status Checked?
*
Please select
Client Declaration
Database Search
Google / Open Source Search
Third-party Screening Tool
Other
PEP Check Comments / Details
Proposed Mitigation Measures
Can the PEP Risk Be Adequately Mitigated?
Yes
No
If PEP Risk Cannot Be Mitigated - Can the Client Still Be Accepted?
Yes
No
If Yes - Provide Justification for Acceptance
9. Terrorism Financing (TF) & Sanctions Risk
Does the Applicant or Related Party Appear on Any Sanctions List?
*
Yes
No
Terrorism Financing / Sanctions Risk Level
*
Please select
Low
Medium
High
How Was the TF / Sanctions Check Performed?
*
Please select
DFAT Search
AUSTRAC Guidance
Third-party Screening Tool
Google / Open Source Search
Other
Comments on TF / Sanctions Check
Proposed Mitigation Measures
Can This Risk Be Adequately Mitigated?
Yes
No
If Risk Cannot Be Mitigated - Can the Client Still Be Accepted?
Yes
No
If Yes - Provide Justification for Acceptance
10. Adverse Media Screening
Has Adverse Media Screening Been Conducted?
*
Yes
No
Search Methods / Databases Used
*
Adverse Findings
Fraud
Corruption
Tax Evasion
Money Laundering
Sanctions Breach
Regulatory Action
Criminal Conviction
Terrorism Links
Bribery
None Found
Adverse Media Comments / Details
Adverse Media Risk Level
*
Please select
Low
Medium
High
Proposed Mitigation Measures
Can the Risk Be Adequately Mitigated?
Yes
No
If Risk Cannot Be Mitigated - Can the Client Still Be Accepted?
Yes
No
If Yes - Provide Justification
11. Automatic High-Risk Trigger Checklist
High-Risk Triggers
Foreign PEP
Complex Trust Structure
Nominee Director
Nominee Shareholder
Cash-Intensive Business
Cryptocurrency Activities
International Funds Transfers
High-Risk Jurisdiction
Adverse Media Findings
Sanctions Match
Unable to Verify UBO
Foreign Beneficial Owner
Offshore Structure
Unverified Source of Wealth
Multiple High-Risk Factors
Number of Triggers Ticked
*
ECDD Required?
*
Yes
No
12. Overall Risk Rating & Onboarding Decision
Overall Risk Rating
*
Please select
Low
Medium
High
Onboarding Decision
*
Please select
Approve
Decline
Approve with Conditions
Escalate for Review
Conditions / Reasons for Decision
Monitoring Frequency for This Client
*
Please select
Every 3 Years
Annually
Every 6 Months
Immediate Review on Trigger Event
Senior Manager / Approver Full Name
Position / Title
Signature
Date of Approval
13. Assessor Declaration
I declare that I have conducted this risk assessment in accordance with the EndureGo Tax AML/CTF Program.
Confirmed
Assessor Signature
Date
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