Do you undertake high value Pay special attention for unusual transactions (over $5 million)? transaction and ML/TF indicators. Obtain additional information on source of or source of wealth. Other risk factors: (list any additional factors) ___________________________________ ___________________________________ Signature of the Broker Date ______________________________ Date of employee training:
Do you undertake high value transactions (over $5 million)? Pay special attention for unusual transaction and ML/TF indicators. Obtain additional information on source of or source of wealth. Other risk factors: (list any additional factors) ___________________________________ ___________________________________ Signature of the Broker Date Date of employee training: ______________________________
Risk-Assessment-Form-v2.docx