№ lp_1_2_59579
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Character count: 4295
File size: 37 KB
This document is a template for requesting information as part of the Know Your Counterparty (KYC) process for companies involved in the jewelry supply chain, with a focus on complying with anti-money laundering and terrorism financing regulations.
Note:
Year
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Year:
2017
Organization:
UNEP/CMS
Document Type:
Addendum / Review
Author:
Scientific Council, Rob Clay, Graeme Taylor, BirdLife International
Target Audience:
Conference of the Parties (COP12)
Region:
Americas
Sections Reviewed:
General Comments, Specific Sections, Annexes
Purpose:
Provide feedback and recommendations on the Americas Flyways Action Plan
Key Topics:
Flyways, Task Force, Migratory Birds, Resolution, Action Plan, Working Groups
Note:
Year
Document Type:
Policy
Contextual Description:
Template for Anti-Money Laundering and KYC policy and procedures.
Year:
2017
Event:
12th Meeting of the Conference of the Parties to the Convention on Migratory Species
Location:
Manila, Philippines
Document code:
UNEP/CMS/COP12/Doc.21.2.9
Agenda item:
21.2.9
Organization:
Convention on the Conservation of Migratory Species of Wild Animals
Related organization:
United Nations Environment Programme
Document type:
Draft consolidated resolution
Prepared by:
Secretariat on behalf of the Standing Committee
Subject:
Wildlife disease and migratory species
Related resolutions:
Resolution 8.27; Resolution 9.8; Resolution 10.22
Proposed action:
Adoption of a consolidated resolution by the Conference of the Parties
Date of document:
26 June 2017
Year:
2021
Region / City:
India
Topic:
Investor Services, KYC, PAN Registration
Document Type:
Form
Organization / Institution:
Securities and Exchange Board of India (SEBI)
Author:
SEBI
Target Audience:
Security holders of listed companies
Period of validity:
Until March 31, 2022
Approval Date:
November 03, 2021
Date of changes:
None
Year:
2023
Region / city:
N/A
Document type:
Form
Organization / institution:
Securities and Exchange Board of India (SEBI)
Author:
N/A
Target audience:
Investors, Registered Transfer Agents (RTAs), and holders of listed company securities
Validity period:
N/A
Approval date:
March 16, 2023
Amendment date:
N/A
Note:
Year
Year:
Not specified
Region / City:
India
Subject:
KYC (Know Your Customer) Requirements for Customs Clearance
Document Type:
Form
Organization / Institution:
FedEx
Author:
Not specified
Target Audience:
Importers/Exporters
Effective Period:
Not specified
Approval Date:
Not specified
Modification Date:
Not specified
Year:
2021
Region / City:
India
Topic:
Investor Services, KYC, PAN Registration
Document Type:
Form
Organization / Institution:
SEBI (Securities and Exchange Board of India)
Author:
SEBI
Target Audience:
Investors in listed companies holding physical securities
Effective Period:
Ongoing
Approval Date:
November 03, 2021
Modification Date:
N/A
Form ISR–1: Request for Registering or Updating PAN, KYC and Related Details for Physical Securities
Year:
2023
Country:
India
Regulatory authority:
Securities and Exchange Board of India (SEBI)
Document reference:
SEBI/HO/MIRSD/MIRSD-PoD-1/P/CIR/2023/37
Date of circular:
March 16, 2023
Document type:
Regulatory form
Purpose:
Registration or updation of PAN, KYC, bank, contact, signature and nomination details
Applicable securities:
Shares, debentures, bonds and other securities of listed companies held in physical form
Applicable entities:
Investors, security holders, Registrars and Transfer Agents (RTAs)
Submission modes:
In-person verification, post, electronic submission with e-sign
Related forms:
ISR–2, ISR–3, SH-13, SH-14
Compliance requirement:
Mandatory furnishing of PAN, KYC and nomination details for processing service requests
Timelines reference:
SEBI circular dated November 26, 2021
Source type:
Statutory regulatory documentation governing investor service requests and compliance procedures for physical securities under SEBI regulations.
Year:
2023
Region / City:
India
Topic:
Anti-Money Laundering, Know Your Customer (KYC)
Document Type:
Policy
Organ / Institution:
Manappuram Finance Limited (MAFIL)
Author:
Operations Department
Target Audience:
Employees, Third-party Agents
Period of Action:
From August 2023
Approval Date:
August 2023
Next Review Date:
July 2024
Date of Last Revision:
July 2023
Year:
Not specified
Region / City:
Not specified
Topic:
Know Your Counterparty (KYC), Responsible Jewellery Council (RJC)
Document Type:
Request for Information
Organization / Institution:
Responsible Jewellery Council (RJC)
Author:
Not specified
Target Audience:
Companies involved in the jewellery industry
Period of Validity:
Not specified
Approval Date:
Not specified
Date of Changes:
Not specified
Year:
2021
Region / City:
N/A
Theme:
KYC registration, PAN update
Document type:
Form
Institution:
SEBI
Author:
N/A
Target Audience:
Investors holding physical securities in listed companies
Effective period:
N/A
Approval date:
November 03, 2021
Modification date:
N/A
Year:
2021
Region / City:
India
Subject:
PAN and KYC registration and update for physical securities in listed companies
Document Type:
Form
Organization:
SEBI (Securities and Exchange Board of India)
Author:
SEBI
Target Audience:
Security holders, Investors
Validity Period:
Not specified
Approval Date:
November 03, 2021
Date of Changes:
Not specified
Note:
Year
Document Type:
Policy
Contextual Description:
Template for Anti-Money Laundering and KYC policy and procedures.
Year:
2021
Region / City:
India
Topic:
KYC, Bank Regulations, COVID-19
Document Type:
Circular
Organization:
Reserve Bank of India (RBI)
Author:
Prakash Baliarsingh
Target Audience:
Regulated Entities
Period of Validity:
Till March 31, 2022
Approval Date:
December 30, 2021
Modification Date:
N/A
Date:
Not specified
Country:
India
Legislation:
Prevention of Money Laundering Act, 2002
Related Legislation:
Income Tax Act; Prevention of Corruption Act
Regulatory Authority:
Securities and Exchange Board of India
Issuing Authority:
Department of Revenue, Ministry of Finance, Government of India
Referenced Notification:
No. GSR 436(E) dated July 1, 2005
Referenced Circulars:
ISD/CIR/RR/AML/1/06 dated January 18, 2006; ISD/CIR/RR/AML/2/06 dated March 23, 2006
Reporting Authority:
Financial Intelligence Unit-India
Document Type:
Compliance Addendum / Key Information Memorandum
Subject:
Anti-Money Laundering and Know Your Client (KYC) Obligations
Applicability:
Stock Brokers and Constituents
Effective Date of Act:
July 1, 2005
Obligations:
Identity Verification; Record Maintenance; Reporting of Suspicious Transactions; Account Freezing in Case of Non-Compliance
Legal Consequence:
Discretion to Reject Application or Freeze Account for Non-Compliance
Status:
Integral Part of Client Registration Form
Amendment Clause:
Subject to Amendments from Time to Time
Document Type:
Compliance form
Subject:
Know Your Customer (KYC) due diligence
Organization / Institution:
Financial or regulated institution requesting customer due diligence information
Purpose:
Collection of corporate information and identification of owners, directors and key management
Customer Category:
Corporate customers
Information Sections:
Corporate information; key relationships; regulatory and compliance disclosures; tax and litigation matters; convictions
Ownership Disclosure Threshold:
Owners holding 5% or more
Governance Information:
Board of Directors (independent, executive or non-executive)
Management Information:
Key management personnel
Compliance Topics:
PEP status, public appointments, prior employment, political activity, sanctions and investigations
Required Attachments:
Articles of Agreement, By-Laws, Charters or similar corporate documents
Verification Requirement:
Signature, stamp and page initials required
Use Context:
Customer due diligence and regulatory compliance procedures
Year:
1999
Region / City:
Queensland
Topic:
Legal Procedures
Document Type:
Court Order
Institution:
Supreme Court of Queensland
Author:
Not specified
Target Audience:
Legal professionals
Period of validity:
Until further order of the Court
Approval Date:
Not specified
Date of amendments:
Not specified
Context:
Legal document outlining the procedures for disclosure and document management in a court case under the Uniform Civil Procedure Rules.
Year:
2021
Region / city:
New Zealand
Topic:
Simulated recall procedures
Document type:
Checklist
Organization / institution:
NZFS
Author:
Not specified
Target audience:
Businesses involved in production, sales, and distribution
Period of validity:
March 2021
Approval date:
1 March 2021
Modification date:
15 March 2021
Year:
2021
Region / City:
Karratha
Topic:
Coating Systems Inspection
Document Type:
Inspection Test Plan
Organization / Institution:
Water Corporation
Author:
Joe Bloggs
Target Audience:
Contractors, Inspectors
Effective Period:
1st July 2021
Approval Date:
1st July 2021
Modification Date:
Not specified
No. of Pages:
3