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Client Risk Assessment Form

Client Risk Assessment Form Template for South Africa

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Key Requirements PROMPT example:

Client Risk Assessment Form

"I need a Client Risk Assessment Form for a South African investment management firm, focusing on high-net-worth individuals and corporate clients, with enhanced due diligence sections for politically exposed persons and cross-border transactions."

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Document background
The Client Risk Assessment Form is a crucial compliance document required under South African financial regulations, particularly FICA and POPIA. It serves as a standardized tool for evaluating and documenting potential risks associated with new and existing client relationships. The form must be completed during client onboarding and updated periodically to maintain accurate risk profiles. It includes sections for basic client information, business activity assessment, geographic risk factors, transaction profiling, and screening results. The document helps organizations meet their regulatory obligations while implementing a risk-based approach to client due diligence. This assessment is particularly important in the South African context, where financial institutions must demonstrate robust risk management practices to regulatory authorities.
Suggested Sections

1. Client Information: Basic identification and contact details including full name, ID number, contact information, and address as required by FICA

2. Business Activity Profile: Nature of business, industry sector, source of funds/wealth, and expected transaction patterns

3. Risk Category Assessment: Evaluation criteria for determining client risk level (Low, Medium, High) based on various risk factors

4. Geographic Risk Factors: Assessment of risks related to client's residence, business operations, and transaction locations

5. Product/Service Risk: Evaluation of risks associated with requested products or services

6. Transaction Profile: Expected transaction volumes, frequencies, and patterns

7. Screening Results: Findings from PEP (Politically Exposed Person) screening, sanctions checks, and adverse media searches

8. Risk Rating Calculation: Methodology and final calculation of overall risk rating

9. Declaration: Client's declaration of information accuracy and consent for information processing as per POPIA

Optional Sections

1. Corporate Structure: For business clients only - details of ownership structure, beneficial owners, and control

2. Enhanced Due Diligence: Additional information required for high-risk clients or specific circumstances

3. Related Party Information: Information about associated individuals or entities when relevant

4. Industry-Specific Risk Factors: Additional risk assessment criteria specific to certain industries or sectors

5. Foreign Account Tax Compliance: FATCA/CRS information for clients with international financial connections

Suggested Schedules

1. Schedule A: Document Checklist: List of required supporting documents based on client type and risk level

2. Schedule B: Risk Rating Matrix: Detailed scoring matrix showing how different factors contribute to overall risk rating

3. Schedule C: Prohibited Client Types: List of client types and activities that are automatically considered too high risk

4. Appendix 1: Guidelines for Risk Classification: Detailed explanation of risk categories and classification criteria

5. Appendix 2: Regulatory References: Reference to relevant sections of FICA, POPIA, and other applicable regulations

Authors

Alex Denne

Head of Growth (Open Source Law) @ ¶¶Òõ¶ÌÊÓƵ | 3 x UCL-Certified in Contract Law & Drafting | 4+ Years Managing 1M+ Legal Documents | Serial Founder & Legal AI Author

alex.den.21@genieai.co
Relevant legal definitions







































Clauses

























Relevant Industries

Banking

Financial Services

Insurance

Investment Management

Legal Services

Accounting

Real Estate

Securities Trading

Credit Providers

Asset Management

Wealth Management

Corporate Services

Trust Services

Payment Services

Foreign Exchange Services

Relevant Teams

Compliance

Risk Management

Legal

Client Onboarding

Know Your Customer

Anti-Money Laundering

Client Services

Operations

Internal Audit

Regulatory Reporting

Relevant Roles

Compliance Officer

Risk Manager

Client Onboarding Specialist

Due Diligence Officer

AML Specialist

KYC Analyst

Relationship Manager

Legal Counsel

Chief Risk Officer

Compliance Manager

Financial Crime Specialist

Client Services Manager

Operations Manager

Risk Assessment Officer

Regulatory Reporting Officer

Industries







Teams

Employer, Employee, Start Date, Job Title, Department, Location, Probationary Period, Notice Period, Salary, Overtime, Vacation Pay, Statutory Holidays, Benefits, Bonus, Expenses, Working Hours, Rest Breaks,  Leaves of Absence, Confidentiality, Intellectual Property, Non-Solicitation, Non-Competition, Code of Conduct, Termination,  Severance Pay, Governing Law, Entire Agreemen

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