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    (FP) AMLA 1 - (160523) (H

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    hari20 hari20

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    (FP) AMLA 1 - (160523) (H

    Uploaded by

    hari20 hari20
    1 views3 pages

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    (fp) AMLA 1-(160523) (H

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    (FP) AMLA 1 - (160523) (H

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    hari20 hari20

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    © All Rights Reserved
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    of 3

    AMLA 1

    SKRINE
    PREVIEW OF TRANSACTION AND CLIENT CHECKLIST
    IMPORTANT: THIS FORM MUST BE SUBMITTED TOGETHER WITH THE MATTER CREATION FORM

    ALL INFORMATION ARE TO BE WRITTEN LEGIBLY, UNCLEAR FORMS WILL BE RETURNED


    FOR FILING SECTION USE ONLY:

    1. MATTER NO. 22423817 2. CLIENT ID


    HOGA-WAS

    THE LAWYER MUST COMPLETE SECTION I (PART A OR PART B AND PART C) AND SECTION II

    SECTION I – PREVIEW OF CLIENT


    PART A – WHERE CLIENT IS AN INDIVIDUAL

    1. Name & Aliases Click here to enter text.

    2. Identity Card Number/Passport Number Click here to enter text.

    3. Nationality Click here to enter text.

    4. Country of Residence Click here to enter text.

    PART B – WHERE CLIENT IS AN ORGANIZATION

    1. Name of Organization Hogan Lovells US LLP

    Columbia Square, 555 Thirteenth Street, NW, Washington, DC 20004-1109


    2. Registered Organization Address

    3. Domicile of Organization United States of America

    4. Name of Instructing Officer Mr. Will Crawford (Senior Associate)

    PART C – SANCTION LIST

    Is the client from, or incorporated in, or is a citizen of, or has an address in, any of
    the following jurisdictions? YES NO
    A. Algeria
    B. Cuba
    C. Iran
    D. Iraq
    E. Nigeria
    F. North Korea / Democratic Republic of Korea (DPRK)
    G. Sudan
    H. Syria
    I. Ukraine
    J. Yemen

    THE MATTER IS A DISQUALIFIED TRANSACTION IF ANY ANSWER IN PART C IS “YES”. DO NOT OPEN A FILE OR
    COMMENCE WORK REGARDLESS OF THE TYPE OF WORK INVOLVED. CONSULT COMPLIANCE OFFICER
    IMMEDIATELY.

    SECTION II – PREVIEW OF TRANSACTION

    SIX TYPES OF QUALIFYING TRANSACTIONS


    The Matter to be handled involves : YES NO
    A. Buying and selling of immovable property or business entities.
    B. Managing of client money, securities or other property.
    C. Managing of accounts including savings and securities accounts.
    D. Organising of contributions for the creation, operation or management of companies.
    E. Creating, operating or managing of legal entities or arrangements.#
    AMLA 1-(160523)
    Page 1 of 3

    <#3093807><FHH><FHH><FHH>
    SKRINE
    F. As company secretary:
    i. Acting as a formation agent of legal entities.
    ii. Acting as (or arranging for another person to act as) a director or
    secretary of a company, a partner of a partnership, or a similar
    position in relation to other legal entities.
    iii. Providing a registered office, business address or accommodation,
    correspondence or administrative address for a company, a partnership
    or any other legal entities or arrangement.
    iv. Acting as (or arranging for another person to act as) a trustee of
    an express trust.
    v. Acting as (or arranging for another person to act as) a nominee
    shareholder for another person.
    If any of the above is "YES", please elaborate on the nature of work:

    Prepared By Lawyer: Francine Ariel Paul Date: 22.8.2024

    SECTION III IS TO BE COMPLETED BY FILE OPENING SECTION

    SECTION III – TO BE COMPLETED BY FILE OPENING SECTION

    PART A – FOR ALL MATTERS YES NO


    1. The client is incorporated or domiciled in, or is a citizen of, or has an address in,
    a jurisdiction listed on the US Sanction List
    2. The client is listed on the UNSC Consolidated List or the Malaysian Anti-Terrorism Lists
    3. The client’s instructing officer is listed on the UNSC Consolidated List or the Malaysian
    Anti-Terrorism Lists*
    PART B – FOR QUALIFYING MATTERS ONLY
    4. The client is from a “high risk” jurisdiction – see Parts 1 & 2 of Appendix A
    of Customer Acceptance Policy
    5. The client is listed on the AMLA Blacklist
    6. The client is listed on the KYC Database
    * To be completed only where the client is an organization.

    Checked By: Rizal Zawawi Date: Thursday, August 22, 2024

    IMPORTANT! THE LAWYER MUST CHECK THE RESPONSES FROM FILE OPENING SECTION TO THE QUESTIONS IN
    SECTION III. IF ANY OF QUESTIONS 1 TO 5 (AS APPLICABLE) IN SECTION III IS ANSWERED IN THE AFFIRMATIVE, THE
    LAWYER MUST NOT OPEN A FILE OR COMMENCE WORK AND MUST CONSULT THE COMPLIANCE OFFICER
    IMMEDIATELY. FOR A QUALIFYING TRANSACTION, IF QUESTION 6 IN SECTION III IS ANSWERED IN THE
    AFFIRMATIVE, THE LAWYER MUST CHECK WITH CLIENT WHETHER THE INFORMATION IN OUR KYC DATABASE
    NEEDS TO BE UPDATED (REFER TO WORKFLOW FOR QUALIFYING TRANSACTIONS FOR EXISTING “KYC DATABASE”
    CLIENT).

    GUIDE NOTES

    IMPORTANT!

    A transaction listed in Items A to F of Section II (“Qualifying Transaction”) falls within the ambit of AMLA. Bank Negara’s document
    entitled Anti-Money Laundering, Counter Financing of Terrorism and Targeted Financial Sanctions for Designated Non-Financial Businesses
    and Professions (DNFBPs) & Non-Bank Financial Institutions (NBFIs) and the Bar Council Guidelines on Anti-Money Laundering & Anti-
    Terrorism Financing are to be complied with. A copy of these documents can be obtained from the Sharepoint. Please proceed to conduct

    AMLA 1-(160523)
    Page 2 of 3

    <#3093807><FHH><FHH><FHH>
    SKRINE
    Customer Due Diligence and assess your client's risk profile using the parameters as set out in the Firm's AML/CFT Customer Acceptance
    Policy.

    EXCLUSIONS

    The following matters will not usually fall within the ambit of Anti-Money Laundering and Anti-Terrorism Financing Act 2001 ("AMLA")
    if they involve only:
    - Advisory work
    - Bank loan to individual and corporate client
    - Dispute Resolution matters
    - Trade Marks and Patents.

    NOTE

    # For the purposes of Item E of Section II, a “legal arrangement” refers to express trusts or other similar arrangements (Definition in
    Paragraph 10.2 of BNM Guidelines).

    [ end of document ]

    AMLA 1-(160523)
    Page 3 of 3

    <#3093807><FHH><FHH><FHH>

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