№ lp_1_12638
File format: docx
Character count: 57161
File size: 163 KB
This document is a due diligence questionnaire for financial institutions in the post-trade process, providing detailed information regarding credentials, regulatory environment, asset safety, risk mitigation, systems, and core services.
Year:
2016
Note:
Region / City
Topic:
Due Diligence, Financial Services
Document Type:
Questionnaire
Author:
AFME
Target Audience:
Financial institutions and their regulatory bodies
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Year:
2026
Note:
Region / City
Subject:
Due Diligence on Central Securities Depositories (CSDs)
Document Type:
Questionnaire
Organization:
AFME
Target Audience:
Direct participants of CSDs
Year:
2024
Region / City:
Europe
Topic:
Financial Markets
Document Type:
Agreement
Organ / Institution:
Association for Financial Markets in Europe (AFME)
Author:
Association for Financial Markets in Europe
Target Audience:
Financial professionals, members of AFME
Effective Period:
Until terminated
Approval Date:
October 2024
Date of Amendments:
None
Important Notice:
This document is a non-binding, recommended form
Description:
This is a standard agreement template for Initial Purchasers in high-yield debt securities offerings governed by English law.
Year:
2025
Region / City:
Not specified
Subject:
Due diligence on Central Securities Depositories (CSDs)
Document Type:
Questionnaire
Organization / Institution:
AFME
Author:
Not specified
Target Audience:
Direct participants of Central Securities Depositories (CSDs)
Effective Period:
Not specified
Approval Date:
Not specified
Amendment Date:
Not specified
Year:
2019
Note:
Region / City
Topic:
Due Diligence, Custody, Client Money Services
Document Type:
Questionnaire
Organization:
AFME
Target Audience:
Parties involved in custody and client money services
Year:
2016
Date:
19 January 2016
Document version:
1.0
Subject:
MiFID II regulatory compliance and market infrastructure
Document type:
Questionnaire
Organization:
Association for Financial Markets in Europe (AFME)
Regulatory framework:
MiFID II
Industry sector:
Wholesale financial markets
Target audience:
Investment firms and financial exchanges
Geographic scope:
European financial markets
Related organizations:
Global Financial Markets Association (GFMA); Securities Industry and Financial Markets Association (SIFMA); Asia Securities Industry and Financial Markets Association (ASIFMA)
Purpose:
Standardised information exchange between investment firms and exchanges regarding MiFID II requirements
Confidentiality note:
Responses provided by exchanges are confidential and intended only for the recipient firm and its affiliates
Distribution format:
Microsoft Word document
Content structure:
Sections on communication, confidentiality, due diligence, regulatory data management, algorithms, direct electronic access, order-to-trade ratios, and high-frequency trading
Year:
2021
Region / City:
United States
Topic:
Tax preparation, survey
Document Type:
Survey
Author:
IRS
Target Audience:
Tax preparers who did not attend the Due Diligence webinar
Period of Action:
N/A
Approval Date:
N/A
Date of Changes:
N/A
Year:
Not specified
Region / city:
Not specified
Topic:
Responsible Business Conduct (RBC), Sustainability
Document type:
Plan
Organization / institution:
Not specified
Author:
Not specified
Target audience:
Companies implementing responsible business practices
Period of validity:
Not specified
Approval date:
Not specified
Date of amendments:
Not specified
Year:
2018
Region / City:
Washington, D.C.
Theme:
Due diligence, private equity
Document Type:
Questionnaire
Institution / Organization:
Institutional Limited Partners Association (ILPA)
Author:
Institutional Limited Partners Association (ILPA)
Target Audience:
General Partners, Limited Partners, Placement Agents
Period of Validity:
Ongoing
Approval Date:
September 2018
Date of Changes:
September 2018
Year:
2021
Region / City:
Scotland
Topic:
Diligence, Debt Recovery, Legislation
Document Type:
Report
Organ / Institution:
Scottish Government
Author:
Diligence Working Group
Target Audience:
Policy makers, legal professionals, debt recovery professionals
Period of Validity:
Ongoing
Approval Date:
March 2021
Date of Amendments:
None
Year:
2023
Region / City:
Global
Topic:
Investment Funds Distribution
Document Type:
Questionnaire
Institution / Entity:
N/A
Author:
N/A
Target Audience:
Fund Sponsors/Manufacturers, Financial Institutions
Period of Action:
N/A
Approval Date:
N/A
Amendment Date:
N/A
Year:
2023
Note:
Region / City
Year:
2023
Region / City:
Hong Kong
Subject:
Anti-money laundering and counter-financing of terrorism
Document Type:
Form
Organization / Institution:
Law Society of Hong Kong
Author:
Not specified
Target Audience:
Legal practitioners
Period of validity:
Not specified
Approval Date:
June 2023
Modification Date:
Not specified
Year:
2021
Region / City:
Global
Topic:
Client Due Diligence (CDD)
Document Type:
Fact Sheet
Institution:
ACCA
Author:
ACCA
Target Audience:
Accountants, Practitioners
Effective Date:
2021
Date of Updates:
N/A
Sector:
Accounting, Anti-Money Laundering
Note:
Year
Topic:
Responsible Investment, Due Diligence
Document Type:
Checklist
Organization / Institution:
PRI (Principles for Responsible Investment)
Author:
PRI
Target Audience:
Investment Managers, Investors
Year:
2024
Region / City:
N/A
Topic:
Due Diligence, Personal and Business Information Verification
Document Type:
Agreement
Organization / Institution:
Compliance Director Department
Author:
N/A
Target Audience:
Asset Holder - Client, Brokers
Validity Period:
50 years
Approval Date:
N/A
Amendment Date:
N/A
Year:
2013
Region / city:
Not specified
Topic:
Customer Due Diligence, Anti-Money Laundering
Document type:
Guidance
Organization:
AML/CFT supervisors
Author:
Not specified
Target audience:
Reporting entities, financial institutions
Period of validity:
Not specified
Approval date:
Not specified
Amendment date:
Not specified
Year:
2019
Region / City:
United Kingdom
Topic:
Corporate loans, banking, collateral management
Document Type:
Due Diligence Questionnaire
Organization:
Bank of England
Author:
Not specified
Target Audience:
Financial institutions, participants involved in corporate lending
Period of Validity:
Not specified
Approval Date:
Not specified
Date of Amendments:
Not specified
Year:
2026
Note:
Region / City
Subject:
Due Diligence on Central Securities Depositories (CSDs)
Document Type:
Questionnaire
Organization:
AFME
Target Audience:
Direct participants of CSDs
Note:
Year