GUIDE TO:
Forming a Company

HELP WITH STEPS

AML - Customer Due Diligence

  • Forming a company is considered a captured activity and will require customer due diligence (CDD) prior to doing the work. If the client was an existing client (prior to 1 October 2018), and there has been no change in the nature and purpose of the business relationship AND you already hold sufficient information about the client, then CDD is not required. Sufficient information includes proof of address and photo ID.

  • If you are required to conduct CDD, use the AML Customer Due Diligence workpaper as prompted.

 

Client Survey

  • Whilst the client survey tells the client that they should perform a name check with the Companies Office register, it would be sensible for you to conduct one as well.

  • Once the client has answered the questions in the survey, their answers for the following will flow through to the workpaper for you to confirm. If the information is not correct, you can answer No and enter the correct details:

    • Registered address

    • Directors

    • Shareholders​

First Minutes and Share & Interest Register

  • You may prefer to use the Copy to Clipboard function and paste the documents into Word for editing (particularly if you want to use a table for the Share & Interest register).

 
 
 

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