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Legal

AML, KYC e declaração de sanções

Como Financial Licensing Advisors identifica seus clientes e as transações em que não agirá.

Financial Licensing Advisors works only with clients whose identity, ownership and source of funds it can establish, and only on transactions that can be completed lawfully and approved by the competent regulators.

  • Know your client. Before engagement, and before any confidential listing information is shared, Financial Licensing Advisors identifies each client and its beneficial owners (25% or more, or control by other means), its directors, and, for acquisitions, the source of funds and source of wealth. We apply enhanced checks to politically exposed persons and to clients connected with higher-risk jurisdictions.
  • Sanctions. Financial Licensing Advisors screens clients, beneficial owners and counterparties against the sanctions lists of the United Nations, the European Union, the United Kingdom, the United States and Hong Kong. We do not act for, or in transactions involving, sanctioned persons or jurisdictions subject to comprehensive sanctions.
  • Higher-risk jurisdictions. Financial Licensing Advisors applies enhanced due diligence where a client, owner, counterparty or target entity is connected with a jurisdiction on the FATF list of jurisdictions under increased monitoring or the EU list of high-risk third countries, and does not act where the FATF calls for countermeasures.
  • What we will not do. Financial Licensing Advisors does not provide nominee directors or shareholders, conceal beneficial ownership, help anyone avoid tax reporting or sanctions, or broker existing bank or payment accounts.
  • Reporting. Financial Licensing Advisors reports suspicious activity to the relevant authorities where required by law, including the Joint Financial Intelligence Unit in Hong Kong, and may do so without telling the person concerned.
  • Records. Financial Licensing Advisors keeps due diligence records for at least five years after the end of the relationship, or longer where the law requires.