The WorldCheck Non-Sanctions hit must be escalated to ICRM/Sanctions team

• Yes

• No

if the CIB HRPU has been answered YES then there is still a requirement to check the Latest CVS List to see if the client uses Cash Vault Services.

• False

• True

• Depends on the PUP information

During the research, If the client seems to be in the Cannabis Related Business

• No further action is required

• KYC Operations will confirm or clarify with KYC Owner

• Change the answer to yes and continue

• Contact Risk and control

File number is a valid proof for TaxID of a Fund controller?

• True

• False

Juanchis is working on the Carnival group, he included an email from Morgan Stanley group to show AMLs approach for the ownership.

The record can be approved, since the email is a supporting evidence.

• True

• False

System should allow the user to enter a date in ‘Start Date’ for:

• Where Start Date Source = ‘Other’

• Core Create date

• Core Reactivate date

Select the correct approach for Wordlink

• No action required, it is automated

• Confirmation from KYCO is required

• It depends on the analysis performed on clients activity tab

NAIC code is a

• Non-Simplified Field

• Simplified Field

• Static Field

For WorldCheck Non-Sanctions KYC Operations should evaluate the content of the hit and identify if there are any PEPs/SPFs, Negative/Reputational risks and/or Sanction keywords

• Yes

• No

• Escalation must be requested

The default response to the Cannabis related business question is:

• Yes

• No