FORM D – Ongoing Due Diligence

(For Clients With Ongoing Business Relationships)

Section A: Client Information

Client Name

Identity No.

Beneficial Owner(s) (if applicable) — Individual

Entity Name (Entity)

UEN No.

Beneficial Owner(s) — Entity

Section B: Business Relationship

Nature of Relationship

Date Relationship Commenced

Transaction Frequency

Section C: Risk Assessment

Level of Risk and Reasons for Conclusion

Frequency of Review

Last Review Date

Next Review Due

Section D: Ongoing Monitoring

1. Information Currency Check

Are all previously obtained client documents and information still current?

Yes No

If answer is No, please provide details on the information which has changed:

Client’s identification documents (e.g. citizenship) Residential address List of Beneficial Owners Source of wealth/funds

Others

Action Required I have obtained a copy of the document with the updated information.

2. Transaction Monitoring

Are recent transactions consistent with known client profile?

Yes No

a. Unusual Patterns Identified

b. Actions Taken

3. RES’s Recommendation

RES Name

RES Reg No.

RES’s Recommended Follow-Up Action

No changes to Client's Profile and no updates required. To continue monitoring. Updates required (e.g. to update BO information, file an STR)

If “Updates required”, provide details

Date of Review

RES Signature

4. Estate Agent’s Review of On-Going Assessment

The estate agent

Agrees Disagrees

Risk Rating to be

Maintained Increased Decreased

Follow-up Actions Required

Name of Approving Officer

Designation

Date

Approving Officer Signature

EAs and RESs must maintain proper documentation of all screenings and assessments done when determining whether a designated person or PEP is involved in a transaction. All documentation must be submitted to the EA for record-keeping, to be retained by the EA for a minimum period of 5 years.