KST quiz game 2021-07-27

If we can’t find a contact person for entity under investigation in Portal for BI, GS and Internationals, we should:

• Ask RM to provide the correct contact person

• Ask Advisors/Client Managers for contact person

• Check company/ies above the entity under investigation

• If there are no contact details recorded anywhere till the top parent – transfer case to Advisors/Client Managers

If during investigation analyst identifies changes in group structure, he/she should:

• Send group chart that we already have to customer, no need to update it based on open sources

• Attach the group chart that we have even if it does not reflect ownership of all entities and specify what you are missing in a request to customer

• Validate group chart with open sources and amend it prior sending it to customer

• Ask C&I customers to provide a new group chart as amending one will take too much time

The new software, that will replace Adobe Acrobat:

• Doxit

• Dogsit

• Foxit

• FireFoxit

When we need to send FATCA/CRS form to the customer:

• We never prefill anything in the FATCA/CRS form

• Prefill it with customer’s name only

• Prefill it with customer’s name, registration number and address

• Prefill it with customer’s name, registration number, tax residency and address

Where can we find the list of people who have access to raise/reduce customers’ risk score manually in the Portal?

• In Knowledge Sharing Tool

• Under “Responsibilities” tab in the teamsite

• In “Units to contact in Due Diligence process” navigation sheets

• In SOP addendum 2021

How to check if customer account(s) is(are) blocked (for Banking customers)?

• Separate field in Tableau in the overview of accounts section

• Blocked cases are still sent for customer contact

• In Portal, near the account, hovering your mouse over the “i” sign