Skip to content
+971 44356500
info@auruminternational.net
Facebook-f
X-twitter
Linkedin-in
Youtube
Aurum@Auruminternational.net
+971 44356500
Home
About Us
Business
Compliance
Contact Us
Home
About Us
Business
Compliance
Contact Us
About Us
Business
About Us
Business
Compliance
Contact Us
Compliance
Contact Us
About Us
Business
About Us
Business
Compliance
Contact Us
Compliance
Contact Us
Home
About Us
Business
Compliance
Contact Us
Home
About Us
Business
Compliance
Contact Us
Customer Onboarding Form
"Simplify your onboarding process with our easy-to-use form, designed to help us better understand your needs and deliver exceptional service."
Contact Details (Landline)
Contact Details (Mobile)
*
Date of Incorporation
*
Corporate Tax Registration Number
*
VAT Registration Number
*
GoAml Registration Number (If Applicable)
Does the Company hold a license to conduct its business? If Yes Provide Copy
*
Please select an option
Yes
No
Date of issue
*
Date of Expiry
*
Is the Company legally required to have a license to import and export precious metals?
*
Please select an option
Yes – Please provide a copy.
No
N/A
How many direct and indirect subsidiaries and branches does the company have. Provide Group Chart
*
If listed, indicate name of stock exchange and ticker.
*
Source of Funds
*
Please describe the origin of the share capital of your company.
*
List of Countries where the company source/trade its product?
*
List of products in which company trades?
*
Expected Volume of transactions with Aurum International FZC per month?
*
Expected Value of transactions with Aurum International FZC per month?
*
Select
*
TYPE OF BUSINESS
Large scale mine (>100,000 oz /year)
Medium scale mine (30-100,000 oz /year)
Small scale mine (< 30,000 oz /year)
Precious Metal Trader
Bank
Scrap Dealer
Jeweler
BANK DETAILS
Currency
*
PRINCIPAL CONTACT / AUTHORISED PERSON (POA/ BR)
1.
2.
BENEFICIAL OWNERS
SHAREHOLDER(S)
1.
2.
ULTIMATE BENEFICIAL OWNER (INDIVIDUAL ONLY)
1.
2.
MANAGEMENT STRUCTURE
1.
2.
FINANCIAL INFORMATION
Financial Statement Detail
A) Share capital
B) Total Shareholder equity
C) Total Balance Sheet
D) Sales
E) Net Income
HUMAN RESOURCES
POLITICALLY EXPOSED PERSON/ BEARER SHARE/ DUAL NATIONALITY
(a). Does your UBO/Director/Shareholders/Authorized Signatories are politically exposed person?
*
Yes
No
(b). Does your UBO/Director/Shareholders/ Authorized Signatories related to a politically exposed person?
*
Yes
No
(c). Does your company any of the employees are politically exposed person or related to a politically exposed person?
*
Yes
No
(d). Does any of the persons hold the bearer shares? (If yes, please provide copy.)
*
Yes
No
(e). Does Any of the Shareholders/Directors/UBO/Authorized Signatory hold Dual Nationality? (If yes, please provide details)
*
Yes
No
FACILITIES
Does the Company have refining facilities? (If yes, please provide Location)
*
Yes
No
Does the Company have any melting facilities? (If yes, please provide Location)
*
Yes
No
Does the Company produce its own jewelry?
*
Yes
No
What are the types, forms and percentage of precious metals sourced by the Company?
*
Recycled precious metals
Primary material – mined precious metals
If Recycled precious metals
LBMA GD Bullion
Non LBMA Good Delivery Bullion (Au=>995/AG=>9999)
Rudimentary Bars
Jewellery
Broken Jewellery
Coins
Collected waste
Industrial By-product
If Primary material – mined precious metals
LSM
ASM
Mining By-Product
ORIGIN OF PHYSICAL PRECIOUS METALS
Profile of your precious metals suppliers (Individual / Company/Bank)?
*
Do the precious metals supply by you originate from/transit to a conflict affected and human right abuse high risk areas (CAHRA) as defined on the EU CAHRA list?
*
Does your Company have any Supply chain policy in place?
*
Yes
No
Does your institution comply or plan to comply with the OECD Due Diligence Guidance for Responsible Supply Chains of minerals from conflict-affected and High-risk areas?
*
Yes
No
RESPONSIBLE PRECIOUS METAL SUPPLY CHAIN POLICY
What are the procedures in place to ensure that the precious metals purchased have not financed conflict?
*
ANTI MONEY LAUNDERING (AML) – COMBATING FINANCIAL TERRORISM (CFT)
Is your company subject to Anti-Money Laundering /Combating financial terrorism Law/Regulation?
*
Name of the AML-CFT Law/Regulation.
*
Has your company established a program that contains AML/CFT policies and procedures, according to internal & international laws, rules, and standards?
*
Yes-Please provide a copy
No
Does your company have a person responsible (Compliance Officer/MLRO) for all AML-CFT Matters? Compliance Officer/MLRO details (If yes please provide details)
*
Yes
No (If no, please specify)
If the Compliance Officer is outsourced, please specify the company name and provide a copy of the agreement. Company Name:
Does your company have AML-CFT training for employees?
*
Yes
No
Does your company retain records of its training sessions? including attendance & relevant training materials used?
*
Yes
No
Is your company subject to an AML-CFT audit by an independent or governmental body? (If yes, please specify the name of the auditor and date of the last audit)
*
Yes
No
Has the company appointed any third party to conduct due diligence? (If yes, please provide name of company)
*
Yes
No
Is your AML/CFT compliance program approved by Board of directors or senior management?
*
Yes
No
Does the Company assess its corporate precious metals suppliers’ AML-CFT procedures and practices?
*
Yes
No
Does your company have implemented process for the identification of customers e.g., obtaining and maintain record/document on relevant information including full, name, identification number, residential address, date of birth, nationality, business activity etc ?
*
Yes
No
BRIBERY POLICY
Has the company or the Senior Management ever been charged anywhere in the world for violation of applicable anti-bribery laws or regulations?
*
Yes - Please provide a copy
No
Does your Company have any bribery Policy in place?
*
Yes - Please provide a copy
No
DATA PRIVACY PROTECTION
Does your company have Data Protection Policy?
*
Yes
No
Does your company have Data Protection Commissioner?
*
Yes
No
Does your company have a certified data storage system or an information system?
*
Yes
No
How long does the Company keep its due diligence files (records)?
PRECIOUS METALS SUPPLIERS DUE DILIGENCE QUESTIONNAIRE
What type of information does your company request from your precious metal suppliers?
What is the typical profile of your precious metal suppliers?
Form Section
Please provide List of Buyers/Suppliers
Does your company have a risk-based assessment of its precious metal suppliers (E.g., Low, Medium, High)
*
Yes
No
Does the company screen precious metals suppliers and transactions against lists of persons, entities, or countries issued by government/competent authorities?
*
Yes
No
Does the company perform enhanced due diligence for highrisk precious metals suppliers?
*
Yes
No
Does your company have on going monitoring business relations/Transaction with all customers?
*
Yes
No
TRANSACTION MONITORING
Does your Company perform a risk-based assessment to understand the normal and expected transaction of its suppliers (in order to identify the unusual transaction)?
*
Yes
No
Does your company have a monitoring program for unusual and potentially suspicious activity that covers funds transfers and monetary instruments or third-party
*
Yes
No
Does your company have to register/record all purchase and sales?
*
Yes
No
What usual payment method (and percentage (%) does your company use to pay your precious metals suppliers?)
*
Bank
Cash
Others
Does your company have a procedure in place to prevent, detect and report suspicious transactions from its suppliers to the relevant authority?
*
Yes
No
How many suspicious activities report has your company filed and submitted to the relevant authority in the last two years?
Does the Company have a maximum amount as per internal policy or regulatory framework? Amount allowed for cash payment. If yes, how much? Amount of deal per supplier in USD? If yes, how much?
*
Yes
No
if yes, how much?
*
Where cash transaction reporting is mandatory, does the Company have procedures to identify transactions structured to avoid such obligations?
*
Yes
No
TRANSPORTATION RISK ASSESSMENT
Does your company have any transportation risk assessment policy in place?
*
Yes
No
How is the gold transported from your company?
*
By your own Company transport
Transguard
Brinks
Ferrari
Others
What is the transport method?
*
Road
Air
Sea
Hand Carry
Has the metal been transported from or via an area physically controlled by non-state armed groups or security force / where the use of forced compulsory or child labor is in occurrence to mine or recycle material / where non state armed groups or security forces illegally tax or request payment of mineral shares / where non state armed groups or security forces control exporters through ownership or other means / via non-state armed groups or security forces seriously violate international humanitarian law?
*
Yes, please specify
No
Send Message
