Enhanced Customer Due Diligence Form
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1
2Enhanced Customer Due Diligence Form
Client Information
Account Name
:
Account No
:
Account Executive/BU
:
Client Due Diligence
Sources of Funds/Wealth
1
Individual Client
Approximated Amount (AUD)
Select where applicable
Net Worth
Annual Income
[ ] Salary / Commission
[ ]
Own business
[ ]
Investment
[ ]
Inheritance
[ ]
Others
(please specify) ________________________
Corporate Client
Approximated Amount (AUD)
Select where applicable
Volume of Asset
Annual Business Turnover
[ ] Operating Income
[ ]
From shareholders
[ ]
From group
companies
[ ]
Investment
[ ] Credit facilities
[ ]
Others
(please specify) ________________________
Anticipated Nature of Product dealing with Ascot Securities Pty Limited.
2
[ ] Stock
[ ] Bonds
[ ] Derivatives
[ ]Futures & Options
[ ] Mutual Funds
[ ] Structured Products
[ ] Others
(please Specify)_______________________________
Anticipated Level of Trading Activity (per annum)
3
- Number of Transactions:
________________________________________________________
- Volume of Transactions (AUD):
_____________________________________________________________
Please complete Sections 4-8 if you are a Politically Exposed Person (PEP)
A PEP is an individual who holds a prominent public position or function in a government body or an international organisation
in Australia or overseas, such as Head of State, or Head of Country or Government, or a Government Minister, or equivalent
senior politician. A PEP can also be an immediate family member of a person referred to above, including spouse, de facto
partner, child, and a child’s spouse or a parent. A close associate of a PEP, i.e. any individual who is known to have joint
beneficial ownership of a legal arrangement or entity is also considered to be a PEP.
Name of PEP
:
4
Position and, or Duties
:
5
6
Name of Public Function
:
Country:
Year of Service
:
7
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