WOLFSBERG-PRINCIPLES.COMWOLFSBERG CBDDQSURVEYSNEWS & EVENTSCONTACT

USFAQSTRANSLATIONS

The Wolfsberg Group is an association of thirteen global banks which aims to develop frameworks and guidance for the management of financial crime risks, particularly with respect to Know Your Customer, Anti-Money Laundering and Counter Terrorist Financing policies. The Group came together in 2000, at the Château Wolfsberg

in north-eastern

THE WOLFSBERG GROUP, ICC AND BAFT TRADE FINANCE PRINCIPLES PUBLIC Trade Finance Principles 5 2011 to 2017 The Wolfsberg Group Trade Finance Principles paper and appendices were last updated in 2011. Since then regulatory

WOLFSBERG CBDDQ

The Wolfsberg Group has updated the Correspondent Banking Due Diligence Questionnaire (CBDDQ) due to a small number of administrative corrections. The relevant changes are: The correction of question ’15 a’ drop down, which read ‘5001-1000 employees’ instead of ‘5001-10000 employees’. Under the ‘Declaration Statement’, the date WOLFSBERG ANTI-MONEY LAUNDERING PRINCIPLES FOR � The Wolfsberg Group 2014 Wolfsberg Correspondent Banking Principles 1 Wolfsberg Anti-Money Laundering Principles for Correspondent Banking WOLFSBERG ANTI-MONEY LAUNDERING PRINCIPLES FOR PRIVATE � The Wolfsberg Group 2012 Wolfsberg AML Principles for Private Banking 3 • Trusts: where the client is a trust, the private banker will understand the structure PUBLICATION OF SOURCE OF WEALTH AND SOURCE OF FUNDS The Wolfsberg Group is pleased to publish Frequently Asked Questions (FAQs) on how Financial Institutions can identify, mitigate and manage money laundering risks by undertaking Source of Wealth (SoW) and Source of Funds (SoF) checks on relevant customers, when appropriate and/or required by applicable regulation. WOLFSBERG STATEMENT ON THE SUPPRESSION OF THE FINANCING OF Wolfsberg Statement on the Suppression of the Financing of Terrorism . 1. Preamble . The Wolfsberg Group. 1. of financial institutions (the "Wolfsberg Group") is committed to WOLFSBERG GUIDANCE ON POLITICALLY EXPOSED PERSONS (PEPS) � The Wolfsberg Group 2017 2 Wolfsberg PEP Guidance 2017 considered as part of an FI’s standard customer risk assessment, rather than

being considered in

WOLFSBERG GROUP PAYMENT TRANSPARENCY STANDARDS � The Wolfsberg Group 2017 Payment Transparency Standards 4 of address in accordance with the resident country conventions such as

City,

WOLFSBERG GUIDANCE ON SANCTIONS SCREENING � The Wolfsberg Group 2019 2 Wolfsberg Sanctions Screening Guidance What customers the FI has – international or domestic, where those

customers are

WOLFSBERG-PRINCIPLES.COMWOLFSBERG CBDDQSURVEYSNEWS & EVENTSCONTACT

USFAQSTRANSLATIONS

The Wolfsberg Group is an association of thirteen global banks which aims to develop frameworks and guidance for the management of financial crime risks, particularly with respect to Know Your Customer, Anti-Money Laundering and Counter Terrorist Financing policies. The Group came together in 2000, at the Château Wolfsberg

in north-eastern

THE WOLFSBERG GROUP, ICC AND BAFT TRADE FINANCE PRINCIPLES PUBLIC Trade Finance Principles 5 2011 to 2017 The Wolfsberg Group Trade Finance Principles paper and appendices were last updated in 2011. Since then regulatory

WOLFSBERG CBDDQ

The Wolfsberg Group has updated the Correspondent Banking Due Diligence Questionnaire (CBDDQ) due to a small number of administrative corrections. The relevant changes are: The correction of question ’15 a’ drop down, which read ‘5001-1000 employees’ instead of ‘5001-10000 employees’. Under the ‘Declaration Statement’, the date WOLFSBERG ANTI-MONEY LAUNDERING PRINCIPLES FOR � The Wolfsberg Group 2014 Wolfsberg Correspondent Banking Principles 1 Wolfsberg Anti-Money Laundering Principles for Correspondent Banking WOLFSBERG ANTI-MONEY LAUNDERING PRINCIPLES FOR PRIVATE � The Wolfsberg Group 2012 Wolfsberg AML Principles for Private Banking 3 • Trusts: where the client is a trust, the private banker will understand the structure PUBLICATION OF SOURCE OF WEALTH AND SOURCE OF FUNDS The Wolfsberg Group is pleased to publish Frequently Asked Questions (FAQs) on how Financial Institutions can identify, mitigate and manage money laundering risks by undertaking Source of Wealth (SoW) and Source of Funds (SoF) checks on relevant customers, when appropriate and/or required by applicable regulation. WOLFSBERG STATEMENT ON THE SUPPRESSION OF THE FINANCING OF Wolfsberg Statement on the Suppression of the Financing of Terrorism . 1. Preamble . The Wolfsberg Group. 1. of financial institutions (the "Wolfsberg Group") is committed to WOLFSBERG GUIDANCE ON POLITICALLY EXPOSED PERSONS (PEPS) � The Wolfsberg Group 2017 2 Wolfsberg PEP Guidance 2017 considered as part of an FI’s standard customer risk assessment, rather than

being considered in

WOLFSBERG GROUP PAYMENT TRANSPARENCY STANDARDS � The Wolfsberg Group 2017 Payment Transparency Standards 4 of address in accordance with the resident country conventions such as

City,

WOLFSBERG GUIDANCE ON SANCTIONS SCREENING � The Wolfsberg Group 2019 2 Wolfsberg Sanctions Screening Guidance What customers the FI has – international or domestic, where those

customers are

PUBLICATION OF SOURCE OF WEALTH AND SOURCE OF FUNDS The Wolfsberg Group is pleased to publish Frequently Asked Questions (FAQs) on how Financial Institutions can identify, mitigate and manage money laundering risks by undertaking Source of Wealth (SoW) and Source of Funds (SoF) checks on relevant customers, when appropriate and/or required by applicable regulation. WOLFSBERG ANTI-MONEY LAUNDERING PRINCIPLES FOR PRIVATE � The Wolfsberg Group 2012 Wolfsberg AML Principles for Private Banking 3 • Trusts: where the client is a trust, the private banker will understand the structure WOLFSBERG GROUP PRINCIPLES ON A RISK BASED APPROACH FOR Wolfsberg Statement Guidance on a Risk Based Approach for Managing Money Laundering Risks . Preamble . The continuing threat of money laundering through financial institutions is most effectively THE WOLFSBERG GROUP, ICC AND BAFT TRADE FINANCE PRINCIPLES PUBLIC Trade Finance Principles 5 This paper replaces the 2011 Wolfsberg Group Trade Finance Principles paper. The former Chair of the Drafting Group, Neil Chantry, and the current Chair, Willem Toren, would like to express PUBLICATION OF GUIDANCE ON SANCTIONS SCREENING The Wolfsberg Group is pleased to publish new guidance on how Financial Institutions (FIs) should carry out sanctions screening. Sanctions screening is a control employed within FIs to detect, prevent and manage sanctions risk and should be undertaken as part of an effective Financial Crime Compliance (FCC) programme, to assist with the identification of sanctioned individuals and WOLFSBERG STATEMENT ON THE SUPPRESSION OF THE FINANCING OF Wolfsberg Statement on the Suppression of the Financing of Terrorism . 1. Preamble . The Wolfsberg Group. 1. of financial institutions (the "Wolfsberg Group") is committed to WOLFSBERG AML GUIDANCE ON CREDIT/CHARGE CARD ISSUING AND Types of Card Banks and other institutions may issue their branded cards as members of an association/global credit card network. The

association, under

WOLFSBERG STATEMENT

1 Wolfsberg Statement – Anti-Money Laundering Guidance for Mutual Funds and Other Pooled Investment Vehicles Preamble The continuing threat of money laundering is most effectively managed by

understanding and

WOLFSBERG GUIDANCE ON SWIFT RELATIONSHIP MANAGEMENT Wolfsberg Guidance on SWIFT Relationship Management rma . WOLFSBERG FREQUENTLY ASKED QUESTIONS (FAQS) ON � The Wolfsberg Group 2014 Wolfsberg Frequently Asked Questions (“&AQs”) on orrespondent anking 5 8. What is the purpose of the Wolfsberg Anti-Money Laundering WOLFSBERG-PRINCIPLES.COMWOLFSBERG CBDDQSURVEYSNEWS & EVENTSCONTACT

USFAQSTRANSLATIONS

The Wolfsberg Group is an association of thirteen global banks which aims to develop frameworks and guidance for the management of financial crime risks, particularly with respect to Know Your Customer, Anti-Money Laundering and Counter Terrorist Financing policies. The Group came together in 2000, at the Château Wolfsberg

in north-eastern

THE WOLFSBERG GROUP, ICC AND BAFT TRADE FINANCE PRINCIPLES PUBLIC Trade Finance Principles 5 2011 to 2017 The Wolfsberg Group Trade Finance Principles paper and appendices were last updated in 2011. Since then regulatory WOLFSBERG ANTI-MONEY LAUNDERING PRINCIPLES FOR � The Wolfsberg Group 2014 Wolfsberg Correspondent Banking Principles 1 Wolfsberg Anti-Money Laundering Principles for Correspondent Banking

WOLFSBERG CBDDQ

The Wolfsberg Group has updated the Correspondent Banking Due Diligence Questionnaire (CBDDQ) due to a small number of administrative corrections. The relevant changes are: The correction of question ’15 a’ drop down, which read ‘5001-1000 employees’ instead of ‘5001-10000 employees’. Under the ‘Declaration Statement’, the date WOLFSBERG ANTI-MONEY LAUNDERING PRINCIPLES FOR PRIVATE � The Wolfsberg Group 2012 Wolfsberg AML Principles for Private Banking 3 • Trusts: where the client is a trust, the private banker will understand the structure PUBLICATION OF SOURCE OF WEALTH AND SOURCE OF FUNDS The Wolfsberg Group is pleased to publish Frequently Asked Questions (FAQs) on how Financial Institutions can identify, mitigate and manage money laundering risks by undertaking Source of Wealth (SoW) and Source of Funds (SoF) checks on relevant customers, when appropriate and/or required by applicable regulation. WOLFSBERG GROUP PRINCIPLES ON A RISK BASED APPROACH FOR Wolfsberg Statement Guidance on a Risk Based Approach for Managing Money Laundering Risks . Preamble . The continuing threat of money laundering through financial institutions is most effectively WOLFSBERG STATEMENT ON THE SUPPRESSION OF THE FINANCING OF Wolfsberg Statement on the Suppression of the Financing of Terrorism . 1. Preamble . The Wolfsberg Group. 1. of financial institutions (the "Wolfsberg Group") is committed to

WOLFSBERG STATEMENT

1 Wolfsberg Statement – Anti-Money Laundering Guidance for Mutual Funds and Other Pooled Investment Vehicles Preamble The continuing threat of money laundering is most effectively managed by

understanding and

WOLFSBERG GROUP PAYMENT TRANSPARENCY STANDARDS � The Wolfsberg Group 2017 Payment Transparency Standards 4 of address in accordance with the resident country conventions such as

City,

WOLFSBERG-PRINCIPLES.COMWOLFSBERG CBDDQSURVEYSNEWS & EVENTSCONTACT

USFAQSTRANSLATIONS

The Wolfsberg Group is an association of thirteen global banks which aims to develop frameworks and guidance for the management of financial crime risks, particularly with respect to Know Your Customer, Anti-Money Laundering and Counter Terrorist Financing policies. The Group came together in 2000, at the Château Wolfsberg

in north-eastern

THE WOLFSBERG GROUP, ICC AND BAFT TRADE FINANCE PRINCIPLES PUBLIC Trade Finance Principles 5 2011 to 2017 The Wolfsberg Group Trade Finance Principles paper and appendices were last updated in 2011. Since then regulatory WOLFSBERG ANTI-MONEY LAUNDERING PRINCIPLES FOR � The Wolfsberg Group 2014 Wolfsberg Correspondent Banking Principles 1 Wolfsberg Anti-Money Laundering Principles for Correspondent Banking

WOLFSBERG CBDDQ

The Wolfsberg Group has updated the Correspondent Banking Due Diligence Questionnaire (CBDDQ) due to a small number of administrative corrections. The relevant changes are: The correction of question ’15 a’ drop down, which read ‘5001-1000 employees’ instead of ‘5001-10000 employees’. Under the ‘Declaration Statement’, the date WOLFSBERG ANTI-MONEY LAUNDERING PRINCIPLES FOR PRIVATE � The Wolfsberg Group 2012 Wolfsberg AML Principles for Private Banking 3 • Trusts: where the client is a trust, the private banker will understand the structure PUBLICATION OF SOURCE OF WEALTH AND SOURCE OF FUNDS The Wolfsberg Group is pleased to publish Frequently Asked Questions (FAQs) on how Financial Institutions can identify, mitigate and manage money laundering risks by undertaking Source of Wealth (SoW) and Source of Funds (SoF) checks on relevant customers, when appropriate and/or required by applicable regulation. WOLFSBERG GROUP PRINCIPLES ON A RISK BASED APPROACH FOR Wolfsberg Statement Guidance on a Risk Based Approach for Managing Money Laundering Risks . Preamble . The continuing threat of money laundering through financial institutions is most effectively WOLFSBERG STATEMENT ON THE SUPPRESSION OF THE FINANCING OF Wolfsberg Statement on the Suppression of the Financing of Terrorism . 1. Preamble . The Wolfsberg Group. 1. of financial institutions (the "Wolfsberg Group") is committed to

WOLFSBERG STATEMENT

1 Wolfsberg Statement – Anti-Money Laundering Guidance for Mutual Funds and Other Pooled Investment Vehicles Preamble The continuing threat of money laundering is most effectively managed by

understanding and

WOLFSBERG GROUP PAYMENT TRANSPARENCY STANDARDS � The Wolfsberg Group 2017 Payment Transparency Standards 4 of address in accordance with the resident country conventions such as

City,

PUBLICATION OF SOURCE OF WEALTH AND SOURCE OF FUNDS The Wolfsberg Group is pleased to publish Frequently Asked Questions (FAQs) on how Financial Institutions can identify, mitigate and manage money laundering risks by undertaking Source of Wealth (SoW) and Source of Funds (SoF) checks on relevant customers, when appropriate and/or required by applicable regulation. CORRESPONDENT BANKING DUE DILIGENCE QUESTIONNAIRE Publication of Source of Wealth and Source of Funds (Private Banking/Wealth Management) FAQs WOLFSBERG AML GUIDANCE ON CREDIT/CHARGE CARD ISSUING AND Types of Card Banks and other institutions may issue their branded cards as members of an association/global credit card network. The

association, under

WOLFSBERG ANTI-BRIBERY AND CORRUPTION (ABC) COMPLIANCE � The Wolfsberg Group 2017 1 Wolfsberg ABC Guidance 2017 Wolfsberg Anti-Bribery and Corruption (ABC) Compliance Programme Guidance 1.

Introduction

WOLFSBERG STATEMENT

1 Wolfsberg Statement – Anti-Money Laundering Guidance for Mutual Funds and Other Pooled Investment Vehicles Preamble The continuing threat of money laundering is most effectively managed by

understanding and

WOLFSBERG GUIDANCE ON POLITICALLY EXPOSED PERSONS (PEPS) � The Wolfsberg Group 2017 2 Wolfsberg PEP Guidance 2017 considered as part of an FI’s standard customer risk assessment, rather than

being considered in

WOLFSBERG GUIDANCE ON SANCTIONS SCREENING � The Wolfsberg Group 2019 2 Wolfsberg Sanctions Screening Guidance What customers the FI has – international or domestic, where those

customers are

THE WOLFSBERG AML PRINCIPLES FREQUENTLY ASKED QUESTIONS � The Wolfsberg Group 2012 Wolfsberg FAQs on Intermediaries 2 The bank should have a process in place to review and approve Introducing

Intermediaries.

WOLFSBERG GUIDANCE ON SWIFT RELATIONSHIP MANAGEMENT Wolfsberg Guidance on SWIFT Relationship Management rma . WOLFSBERG FREQUENTLY ASKED QUESTIONS (FAQS) ON � The Wolfsberg Group 2014 Wolfsberg Frequently Asked Questions (“&AQs”) on orrespondent anking 5 8. What is the purpose of the Wolfsberg Anti-Money Laundering WOLFSBERG-PRINCIPLES.COMWOLFSBERG CBDDQSURVEYSNEWS & EVENTSCONTACT

USFAQSTRANSLATIONS

The Wolfsberg Group is an association of thirteen global banks which aims to develop frameworks and guidance for the management of financial crime risks, particularly with respect to Know Your Customer, Anti-Money Laundering and Counter Terrorist Financing policies. The Group came together in 2000, at the Château Wolfsberg

in north-eastern

THE WOLFSBERG GROUP, ICC AND BAFT TRADE FINANCE PRINCIPLES PUBLIC Trade Finance Principles 5 2011 to 2017 The Wolfsberg Group Trade Finance Principles paper and appendices were last updated in 2011. Since then regulatory

WOLFSBERG CBDDQ

The Wolfsberg Group has updated the Correspondent Banking Due Diligence Questionnaire (CBDDQ) due to a small number of administrative corrections. The relevant changes are: The correction of question ’15 a’ drop down, which read ‘5001-1000 employees’ instead of ‘5001-10000 employees’. Under the ‘Declaration Statement’, the date WOLFSBERG ANTI-MONEY LAUNDERING PRINCIPLES FOR � The Wolfsberg Group 2014 Wolfsberg Correspondent Banking Principles 1 Wolfsberg Anti-Money Laundering Principles for Correspondent Banking WOLFSBERG ANTI-MONEY LAUNDERING PRINCIPLES FOR PRIVATE � The Wolfsberg Group 2012 Wolfsberg AML Principles for Private Banking 3 • Trusts: where the client is a trust, the private banker will understand the structure QUESTIONNAIRE WOLFSBERG � The Wolfsberg Group 2020 Glossaire CBDDQ V1.1 1 Glossaire du CBDDQ � The Wolfsberg Group 2021 Questionnaire Wolfsberg WOLFSBERG STATEMENT ON THE SUPPRESSION OF THE FINANCING OF Wolfsberg Statement on the Suppression of the Financing of Terrorism . 1. Preamble . The Wolfsberg Group. 1. of financial institutions (the "Wolfsberg Group") is committed to WOLFSBERG GUIDANCE ON POLITICALLY EXPOSED PERSONS (PEPS) � The Wolfsberg Group 2017 2 Wolfsberg PEP Guidance 2017 considered as part of an FI’s standard customer risk assessment, rather than

being considered in

WOLFSBERG GROUP PAYMENT TRANSPARENCY STANDARDS � The Wolfsberg Group 2017 Payment Transparency Standards 4 of address in accordance with the resident country conventions such as

City,

WOLFSBERG GUIDANCE ON SANCTIONS SCREENING � The Wolfsberg Group 2019 2 Wolfsberg Sanctions Screening Guidance What customers the FI has – international or domestic, where those

customers are

WOLFSBERG-PRINCIPLES.COMWOLFSBERG CBDDQSURVEYSNEWS & EVENTSCONTACT

USFAQSTRANSLATIONS

The Wolfsberg Group is an association of thirteen global banks which aims to develop frameworks and guidance for the management of financial crime risks, particularly with respect to Know Your Customer, Anti-Money Laundering and Counter Terrorist Financing policies. The Group came together in 2000, at the Château Wolfsberg

in north-eastern

THE WOLFSBERG GROUP, ICC AND BAFT TRADE FINANCE PRINCIPLES PUBLIC Trade Finance Principles 5 2011 to 2017 The Wolfsberg Group Trade Finance Principles paper and appendices were last updated in 2011. Since then regulatory

WOLFSBERG CBDDQ

The Wolfsberg Group has updated the Correspondent Banking Due Diligence Questionnaire (CBDDQ) due to a small number of administrative corrections. The relevant changes are: The correction of question ’15 a’ drop down, which read ‘5001-1000 employees’ instead of ‘5001-10000 employees’. Under the ‘Declaration Statement’, the date WOLFSBERG ANTI-MONEY LAUNDERING PRINCIPLES FOR � The Wolfsberg Group 2014 Wolfsberg Correspondent Banking Principles 1 Wolfsberg Anti-Money Laundering Principles for Correspondent Banking WOLFSBERG ANTI-MONEY LAUNDERING PRINCIPLES FOR PRIVATE � The Wolfsberg Group 2012 Wolfsberg AML Principles for Private Banking 3 • Trusts: where the client is a trust, the private banker will understand the structure QUESTIONNAIRE WOLFSBERG � The Wolfsberg Group 2020 Glossaire CBDDQ V1.1 1 Glossaire du CBDDQ � The Wolfsberg Group 2021 Questionnaire Wolfsberg WOLFSBERG STATEMENT ON THE SUPPRESSION OF THE FINANCING OF Wolfsberg Statement on the Suppression of the Financing of Terrorism . 1. Preamble . The Wolfsberg Group. 1. of financial institutions (the "Wolfsberg Group") is committed to WOLFSBERG GUIDANCE ON POLITICALLY EXPOSED PERSONS (PEPS) � The Wolfsberg Group 2017 2 Wolfsberg PEP Guidance 2017 considered as part of an FI’s standard customer risk assessment, rather than

being considered in

WOLFSBERG GROUP PAYMENT TRANSPARENCY STANDARDS � The Wolfsberg Group 2017 Payment Transparency Standards 4 of address in accordance with the resident country conventions such as

City,

WOLFSBERG GUIDANCE ON SANCTIONS SCREENING � The Wolfsberg Group 2019 2 Wolfsberg Sanctions Screening Guidance What customers the FI has – international or domestic, where those

customers are

WOLFSBERG ANTI-MONEY LAUNDERING PRINCIPLES FOR � The Wolfsberg Group 2014 Wolfsberg Correspondent Banking Principles 1 Wolfsberg Anti-Money Laundering Principles for Correspondent Banking WOLFSBERG ANTI-MONEY LAUNDERING PRINCIPLES FOR PRIVATE � The Wolfsberg Group 2012 Wolfsberg AML Principles for Private Banking 3 • Trusts: where the client is a trust, the private banker will understand the structure PUBLICATION OF SOURCE OF WEALTH AND SOURCE OF FUNDS The Wolfsberg Group is pleased to publish Frequently Asked Questions (FAQs) on how Financial Institutions can identify, mitigate and manage money laundering risks by undertaking Source of Wealth (SoW) and Source of Funds (SoF) checks on relevant customers, when appropriate and/or required by applicable regulation. WOLFSBERG GROUP PRINCIPLES ON A RISK BASED APPROACH FOR Wolfsberg Statement Guidance on a Risk Based Approach for Managing Money Laundering Risks . Preamble . The continuing threat of money laundering through financial institutions is most effectively THE WOLFSBERG GROUP, ICC AND BAFT TRADE FINANCE PRINCIPLES PUBLIC Trade Finance Principles 5 This paper replaces the 2011 Wolfsberg Group Trade Finance Principles paper. The former Chair of the Drafting Group, Neil Chantry, and the current Chair, Willem Toren, would like to express WOLFSBERG STATEMENT ON THE SUPPRESSION OF THE FINANCING OF Wolfsberg Statement on the Suppression of the Financing of Terrorism . 1. Preamble . The Wolfsberg Group. 1. of financial institutions (the "Wolfsberg Group") is committed to PUBLICATION OF GUIDANCE ON SANCTIONS SCREENING The Wolfsberg Group is pleased to publish new guidance on how Financial Institutions (FIs) should carry out sanctions screening. Sanctions screening is a control employed within FIs to detect, prevent and manage sanctions risk and should be undertaken as part of an effective Financial Crime Compliance (FCC) programme, to assist with the identification of sanctioned individuals and

WOLFSBERG STATEMENT

1 Wolfsberg Statement – Anti-Money Laundering Guidance for Mutual Funds and Other Pooled Investment Vehicles Preamble The continuing threat of money laundering is most effectively managed by

understanding and

WOLFSBERG GUIDANCE ON SANCTIONS SCREENING � The Wolfsberg Group 2019 2 Wolfsberg Sanctions Screening Guidance What customers the FI has – international or domestic, where those

customers are

WOLFSBERG GUIDANCE ON SWIFT RELATIONSHIP MANAGEMENT Wolfsberg Guidance on SWIFT Relationship Management rma . WOLFSBERG-PRINCIPLES.COMWOLFSBERG CBDDQSURVEYSNEWS & EVENTSCONTACT

USFAQSTRANSLATIONS

The Wolfsberg Group is an association of thirteen global banks which aims to develop frameworks and guidance for the management of financial crime risks, particularly with respect to Know Your Customer, Anti-Money Laundering and Counter Terrorist Financing policies. The Group came together in 2000, at the Château Wolfsberg

in north-eastern

THE WOLFSBERG GROUP, ICC AND BAFT TRADE FINANCE PRINCIPLES PUBLIC Trade Finance Principles 5 2011 to 2017 The Wolfsberg Group Trade Finance Principles paper and appendices were last updated in 2011. Since then regulatory

WOLFSBERG CBDDQ

The Wolfsberg Group has updated the Correspondent Banking Due Diligence Questionnaire (CBDDQ) due to a small number of administrative corrections. The relevant changes are: The correction of question ’15 a’ drop down, which read ‘5001-1000 employees’ instead of ‘5001-10000 employees’. Under the ‘Declaration Statement’, the date WOLFSBERG ANTI-MONEY LAUNDERING PRINCIPLES FOR � The Wolfsberg Group 2014 Wolfsberg Correspondent Banking Principles 1 Wolfsberg Anti-Money Laundering Principles for Correspondent Banking WOLFSBERG ANTI-MONEY LAUNDERING PRINCIPLES FOR PRIVATE � The Wolfsberg Group 2012 Wolfsberg AML Principles for Private Banking 3 • Trusts: where the client is a trust, the private banker will understand the structure PUBLICATION OF SOURCE OF WEALTH AND SOURCE OF FUNDS The Wolfsberg Group is pleased to publish Frequently Asked Questions (FAQs) on how Financial Institutions can identify, mitigate and manage money laundering risks by undertaking Source of Wealth (SoW) and Source of Funds (SoF) checks on relevant customers, when appropriate and/or required by applicable regulation. WOLFSBERG GROUP PRINCIPLES ON A RISK BASED APPROACH FOR Wolfsberg Statement Guidance on a Risk Based Approach for Managing Money Laundering Risks . Preamble . The continuing threat of money laundering through financial institutions is most effectively WOLFSBERG STATEMENT ON THE SUPPRESSION OF THE FINANCING OF Wolfsberg Statement on the Suppression of the Financing of Terrorism . 1. Preamble . The Wolfsberg Group. 1. of financial institutions (the "Wolfsberg Group") is committed to

WOLFSBERG STATEMENT

1 Wolfsberg Statement – Anti-Money Laundering Guidance for Mutual Funds and Other Pooled Investment Vehicles Preamble The continuing threat of money laundering is most effectively managed by

understanding and

WOLFSBERG GROUP PAYMENT TRANSPARENCY STANDARDS � The Wolfsberg Group 2017 Payment Transparency Standards 4 of address in accordance with the resident country conventions such as

City,

WOLFSBERG-PRINCIPLES.COMWOLFSBERG CBDDQSURVEYSNEWS & EVENTSCONTACT

USFAQSTRANSLATIONS

The Wolfsberg Group is an association of thirteen global banks which aims to develop frameworks and guidance for the management of financial crime risks, particularly with respect to Know Your Customer, Anti-Money Laundering and Counter Terrorist Financing policies. The Group came together in 2000, at the Château Wolfsberg

in north-eastern

THE WOLFSBERG GROUP, ICC AND BAFT TRADE FINANCE PRINCIPLES PUBLIC Trade Finance Principles 5 2011 to 2017 The Wolfsberg Group Trade Finance Principles paper and appendices were last updated in 2011. Since then regulatory

WOLFSBERG CBDDQ

The Wolfsberg Group has updated the Correspondent Banking Due Diligence Questionnaire (CBDDQ) due to a small number of administrative corrections. The relevant changes are: The correction of question ’15 a’ drop down, which read ‘5001-1000 employees’ instead of ‘5001-10000 employees’. Under the ‘Declaration Statement’, the date WOLFSBERG ANTI-MONEY LAUNDERING PRINCIPLES FOR � The Wolfsberg Group 2014 Wolfsberg Correspondent Banking Principles 1 Wolfsberg Anti-Money Laundering Principles for Correspondent Banking WOLFSBERG ANTI-MONEY LAUNDERING PRINCIPLES FOR PRIVATE � The Wolfsberg Group 2012 Wolfsberg AML Principles for Private Banking 3 • Trusts: where the client is a trust, the private banker will understand the structure PUBLICATION OF SOURCE OF WEALTH AND SOURCE OF FUNDS The Wolfsberg Group is pleased to publish Frequently Asked Questions (FAQs) on how Financial Institutions can identify, mitigate and manage money laundering risks by undertaking Source of Wealth (SoW) and Source of Funds (SoF) checks on relevant customers, when appropriate and/or required by applicable regulation. WOLFSBERG GROUP PRINCIPLES ON A RISK BASED APPROACH FOR Wolfsberg Statement Guidance on a Risk Based Approach for Managing Money Laundering Risks . Preamble . The continuing threat of money laundering through financial institutions is most effectively WOLFSBERG STATEMENT ON THE SUPPRESSION OF THE FINANCING OF Wolfsberg Statement on the Suppression of the Financing of Terrorism . 1. Preamble . The Wolfsberg Group. 1. of financial institutions (the "Wolfsberg Group") is committed to

WOLFSBERG STATEMENT

1 Wolfsberg Statement – Anti-Money Laundering Guidance for Mutual Funds and Other Pooled Investment Vehicles Preamble The continuing threat of money laundering is most effectively managed by

understanding and

WOLFSBERG GROUP PAYMENT TRANSPARENCY STANDARDS � The Wolfsberg Group 2017 Payment Transparency Standards 4 of address in accordance with the resident country conventions such as

City,

PUBLICATION OF SOURCE OF WEALTH AND SOURCE OF FUNDS The Wolfsberg Group is pleased to publish Frequently Asked Questions (FAQs) on how Financial Institutions can identify, mitigate and manage money laundering risks by undertaking Source of Wealth (SoW) and Source of Funds (SoF) checks on relevant customers, when appropriate and/or required by applicable regulation. CORRESPONDENT BANKING DUE DILIGENCE QUESTIONNAIRE Publication of Source of Wealth and Source of Funds (Private Banking/Wealth Management) FAQs WOLFSBERG AML GUIDANCE ON CREDIT/CHARGE CARD ISSUING AND Types of Card Banks and other institutions may issue their branded cards as members of an association/global credit card network. The

association, under

WOLFSBERG STATEMENT

1 Wolfsberg Statement – Anti-Money Laundering Guidance for Mutual Funds and Other Pooled Investment Vehicles Preamble The continuing threat of money laundering is most effectively managed by

understanding and

WOLFSBERG ANTI-BRIBERY AND CORRUPTION (ABC) COMPLIANCE � The Wolfsberg Group 2017 1 Wolfsberg ABC Guidance 2017 Wolfsberg Anti-Bribery and Corruption (ABC) Compliance Programme Guidance 1.

Introduction

WOLFSBERG GUIDANCE ON SANCTIONS SCREENING � The Wolfsberg Group 2019 2 Wolfsberg Sanctions Screening Guidance What customers the FI has – international or domestic, where those

customers are

WOLFSBERG GUIDANCE ON POLITICALLY EXPOSED PERSONS (PEPS) � The Wolfsberg Group 2017 2 Wolfsberg PEP Guidance 2017 considered as part of an FI’s standard customer risk assessment, rather than

being considered in

WOLFSBERG GUIDANCE ON SWIFT RELATIONSHIP MANAGEMENT Wolfsberg Guidance on SWIFT Relationship Management rma . THE WOLFSBERG FREQUENTLY ASKED QUESTIONS ON RISK Wolfsberg FAQs on Risk Assessments for ML, Sanctions and Bribery & WOLFSBERG FREQUENTLY ASKED QUESTIONS (FAQS) ON � The Wolfsberg Group 2014 Wolfsberg Frequently Asked Questions (“&AQs”) on orrespondent anking 5 8. What is the purpose of the Wolfsberg Anti-Money Laundering WOLFSBERG-PRINCIPLES.COMWOLFSBERG CBDDQSURVEYSNEWS & EVENTSCONTACT

USFAQSTRANSLATIONS

The Wolfsberg Group is an association of thirteen global banks which aims to develop frameworks and guidance for the management of financial crime risks, particularly with respect to Know Your Customer, Anti-Money Laundering and Counter Terrorist Financing policies. The Group came together in 2000, at the Château Wolfsberg

in north-eastern

THE WOLFSBERG GROUP, ICC AND BAFT TRADE FINANCE PRINCIPLES PUBLIC Trade Finance Principles 5 2011 to 2017 The Wolfsberg Group Trade Finance Principles paper and appendices were last updated in 2011. Since then regulatory

WOLFSBERG CBDDQ

The Wolfsberg Group has updated the Correspondent Banking Due Diligence Questionnaire (CBDDQ) due to a small number of administrative corrections. The relevant changes are: The correction of question ’15 a’ drop down, which read ‘5001-1000 employees’ instead of ‘5001-10000 employees’. Under the ‘Declaration Statement’, the date WOLFSBERG ANTI-MONEY LAUNDERING PRINCIPLES FOR � The Wolfsberg Group 2014 Wolfsberg Correspondent Banking Principles 1 Wolfsberg Anti-Money Laundering Principles for Correspondent Banking WOLFSBERG ANTI-MONEY LAUNDERING PRINCIPLES FOR PRIVATE � The Wolfsberg Group 2012 Wolfsberg AML Principles for Private Banking 3 • Trusts: where the client is a trust, the private banker will understand the structure PUBLICATION OF SOURCE OF WEALTH AND SOURCE OF FUNDS The Wolfsberg Group is pleased to publish Frequently Asked Questions (FAQs) on how Financial Institutions can identify, mitigate and manage money laundering risks by undertaking Source of Wealth (SoW) and Source of Funds (SoF) checks on relevant customers, when appropriate and/or required by applicable regulation. WOLFSBERG GROUP PRINCIPLES ON A RISK BASED APPROACH FOR Wolfsberg Statement Guidance on a Risk Based Approach for Managing Money Laundering Risks . Preamble . The continuing threat of money laundering through financial institutions is most effectively WOLFSBERG STATEMENT ON THE SUPPRESSION OF THE FINANCING OF Wolfsberg Statement on the Suppression of the Financing of Terrorism . 1. Preamble . The Wolfsberg Group. 1. of financial institutions (the "Wolfsberg Group") is committed to

WOLFSBERG STATEMENT

1 Wolfsberg Statement – Anti-Money Laundering Guidance for Mutual Funds and Other Pooled Investment Vehicles Preamble The continuing threat of money laundering is most effectively managed by

understanding and

WOLFSBERG GROUP PAYMENT TRANSPARENCY STANDARDS � The Wolfsberg Group 2017 Payment Transparency Standards 4 of address in accordance with the resident country conventions such as

City,

WOLFSBERG-PRINCIPLES.COMWOLFSBERG CBDDQSURVEYSNEWS & EVENTSCONTACT

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The Wolfsberg Group is an association of thirteen global banks which aims to develop frameworks and guidance for the management of financial crime risks, particularly with respect to Know Your Customer, Anti-Money Laundering and Counter Terrorist Financing policies. The Group came together in 2000, at the Château Wolfsberg

in north-eastern

THE WOLFSBERG GROUP, ICC AND BAFT TRADE FINANCE PRINCIPLES PUBLIC Trade Finance Principles 5 2011 to 2017 The Wolfsberg Group Trade Finance Principles paper and appendices were last updated in 2011. Since then regulatory

WOLFSBERG CBDDQ

The Wolfsberg Group has updated the Correspondent Banking Due Diligence Questionnaire (CBDDQ) due to a small number of administrative corrections. The relevant changes are: The correction of question ’15 a’ drop down, which read ‘5001-1000 employees’ instead of ‘5001-10000 employees’. Under the ‘Declaration Statement’, the date WOLFSBERG ANTI-MONEY LAUNDERING PRINCIPLES FOR � The Wolfsberg Group 2014 Wolfsberg Correspondent Banking Principles 1 Wolfsberg Anti-Money Laundering Principles for Correspondent Banking WOLFSBERG ANTI-MONEY LAUNDERING PRINCIPLES FOR PRIVATE � The Wolfsberg Group 2012 Wolfsberg AML Principles for Private Banking 3 • Trusts: where the client is a trust, the private banker will understand the structure PUBLICATION OF SOURCE OF WEALTH AND SOURCE OF FUNDS The Wolfsberg Group is pleased to publish Frequently Asked Questions (FAQs) on how Financial Institutions can identify, mitigate and manage money laundering risks by undertaking Source of Wealth (SoW) and Source of Funds (SoF) checks on relevant customers, when appropriate and/or required by applicable regulation. WOLFSBERG GROUP PRINCIPLES ON A RISK BASED APPROACH FOR Wolfsberg Statement Guidance on a Risk Based Approach for Managing Money Laundering Risks . Preamble . The continuing threat of money laundering through financial institutions is most effectively WOLFSBERG STATEMENT ON THE SUPPRESSION OF THE FINANCING OF Wolfsberg Statement on the Suppression of the Financing of Terrorism . 1. Preamble . The Wolfsberg Group. 1. of financial institutions (the "Wolfsberg Group") is committed to

WOLFSBERG STATEMENT

1 Wolfsberg Statement – Anti-Money Laundering Guidance for Mutual Funds and Other Pooled Investment Vehicles Preamble The continuing threat of money laundering is most effectively managed by

understanding and

WOLFSBERG GROUP PAYMENT TRANSPARENCY STANDARDS � The Wolfsberg Group 2017 Payment Transparency Standards 4 of address in accordance with the resident country conventions such as

City,

PUBLICATION OF SOURCE OF WEALTH AND SOURCE OF FUNDS The Wolfsberg Group is pleased to publish Frequently Asked Questions (FAQs) on how Financial Institutions can identify, mitigate and manage money laundering risks by undertaking Source of Wealth (SoW) and Source of Funds (SoF) checks on relevant customers, when appropriate and/or required by applicable regulation. CORRESPONDENT BANKING DUE DILIGENCE QUESTIONNAIRE Publication of Source of Wealth and Source of Funds (Private Banking/Wealth Management) FAQs WOLFSBERG AML GUIDANCE ON CREDIT/CHARGE CARD ISSUING AND Types of Card Banks and other institutions may issue their branded cards as members of an association/global credit card network. The

association, under

WOLFSBERG STATEMENT

1 Wolfsberg Statement – Anti-Money Laundering Guidance for Mutual Funds and Other Pooled Investment Vehicles Preamble The continuing threat of money laundering is most effectively managed by

understanding and

WOLFSBERG ANTI-BRIBERY AND CORRUPTION (ABC) COMPLIANCE � The Wolfsberg Group 2017 1 Wolfsberg ABC Guidance 2017 Wolfsberg Anti-Bribery and Corruption (ABC) Compliance Programme Guidance 1.

Introduction

WOLFSBERG GUIDANCE ON SANCTIONS SCREENING � The Wolfsberg Group 2019 2 Wolfsberg Sanctions Screening Guidance What customers the FI has – international or domestic, where those

customers are

WOLFSBERG GUIDANCE ON POLITICALLY EXPOSED PERSONS (PEPS) � The Wolfsberg Group 2017 2 Wolfsberg PEP Guidance 2017 considered as part of an FI’s standard customer risk assessment, rather than

being considered in

WOLFSBERG GUIDANCE ON SWIFT RELATIONSHIP MANAGEMENT Wolfsberg Guidance on SWIFT Relationship Management rma . THE WOLFSBERG FREQUENTLY ASKED QUESTIONS ON RISK Wolfsberg FAQs on Risk Assessments for ML, Sanctions and Bribery & WOLFSBERG FREQUENTLY ASKED QUESTIONS (FAQS) ON � The Wolfsberg Group 2014 Wolfsberg Frequently Asked Questions (“&AQs”) on orrespondent anking 5 8. What is the purpose of the Wolfsberg Anti-Money Laundering Skip to main content

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The Wolfsberg Group is an association of thirteen global banks which aims to develop frameworks and guidance for the management of financial crime risks.

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The Wolfsberg Group is an association of thirteen global banks which aims to develop frameworks and guidance for the management of financial crime risks, particularly with respect to Know Your Customer, Anti-Money Laundering and Counter Terrorist Financing

policies.

The Group came together in 2000, at the Château Wolfsberg in north-eastern Switzerland, in the company of representatives from Transparency International, including Stanley Morris, and Professor Mark Pieth of the University of Basel, to work on drafting anti-money laundering guidelines for Private Banking. The Wolfsberg Anti-Money Laundering (AML) Principles for Private Banking were subsequently published in October 2000, revised in May 2002 and again most recently

in June 2012.

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WOLFSBERG NEWS

April 17, 2020

Correspondent Banking Due Diligence Questionnaire - new version

publication

The Wolfsberg Group is pleased to announce the release of version 1.3 of the Correspondent Banking Due Diligence Questionnaire (CBDDQ) along with updated supporting FAQs, Completion Guidance and Capacity

Building Guidance.

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December 20, 2019

Wolfsberg Group statement on "Effectiveness" 2019 The Wolfsberg Group are delighted to publish a statement on "Effectiveness" as it relates to AML/CTF programmes. The Group has been discussing this topic internally and with various significant stakeholders, for a number of years and will continue to work collaboratively and within the parameters

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