Client Due Diligence questionnaire

Company overview

Full legal entity name

Trading name(s)

Company registration number

Company email address

Company phone number

Country of incorporation

Address

City

State

Postal code

Date of incorporation

Please provide the countries of business operation:

Is your business regulated?Is your business regulated?

Yes

Has the company had any significant changes in its regulatory status, scope, or permissions in the last three years?Has the company had any significant changes in its regulatory status, scope, or permissions in the last three years?

Yes

Has the company ever been subject to any FCA enforcement actions, investigations, or notices (e.g., s.166)?Has the company ever been subject to any FCA enforcement actions, investigations, or notices (e.g., s.166)?

Yes

Does your Company, including all group companies, have any customers, suppliers, clients, or other business relationships with individuals or entities located in the following jurisdictions: Central African Republic, Crimea (region of Ukraine), Cuba, Democratic Republic of Congo, Donetsk (region of Ukraine), Eritrea, Guinea-Bissau, Iran, Iraq, Lebanon, Libya, Luhansk (region of Ukraine), Mali, Myanmar, North Korea, Russia, Somalia, South Sudan, Sudan, Syria, Yemen.Does your Company, including all group companies, have any customers, suppliers, clients, or other business relationships with individuals or entities located in the following jurisdictions: Central African Republic, Crimea (region of Ukraine), Cuba, Democratic Republic of Congo, Donetsk (region of Ukraine), Eritrea, Guinea-Bissau, Iran, Iraq, Lebanon, Libya, Luhansk (region of Ukraine), Mali, Myanmar, North Korea, Russia, Somalia, South Sudan, Sudan, Syria, Yemen.

Yes

What business industry does your company operate in?

Please provide a brief summary of your business activities

Please provide details of:

ALL Directors
ALL Shareholders (individuals) directly or indirectly owning 10% or more of the company
If there are no individual shareholders with 10% or more ownership, then provide details for at least one senior company representative (eg: CEO/ Managing Director)

Please provide details of use case to be provided to your customers using Bud’s services

Are there any shareholders, directors or key members of your business who are Politically Exposed?Are there any shareholders, directors or key members of your business who are Politically Exposed?

Yes

Company ethics

Do you have proportionate procedures in place to prevent the facilitation of tax evasion?Do you have proportionate procedures in place to prevent the facilitation of tax evasion?

Yes

Has a criminal or civil judgement, penalty or lawsuit or any other proceeding involving corruption, money laundering, fraud or tax evasion ever been made against the company in last 10 years?Has a criminal or civil judgement, penalty or lawsuit or any other proceeding involving corruption, money laundering, fraud or tax evasion ever been made against the company in last 10 years?

Yes

Have you ever discovered bribery, corruption, fraud or tax evasion (known or suspected) in your supply chain?Have you ever discovered bribery, corruption, fraud or tax evasion (known or suspected) in your supply chain?

Yes

Conflict of interest

Are there any known conflict of interest issues which should be disclosed relating to your working with Bud?Are there any known conflict of interest issues which should be disclosed relating to your working with Bud?

Yes

Modern slavery

Are you under obligations to have a Modern Slavery Statement?Are you under obligations to have a Modern Slavery Statement?

Yes

As far as you are aware, do you comply with all applicable Modern Slavery laws?As far as you are aware, do you comply with all applicable Modern Slavery laws?

Yes

Do you take reasonable steps to ensure that there is no Modern Slavery or human trafficking in the Supplier’s or Supplier subcontractors’ supply chains or business operations?Do you take reasonable steps to ensure that there is no Modern Slavery or human trafficking in the Supplier’s or Supplier subcontractors’ supply chains or business operations?

Yes

Have you or any of your officers, employees or other persons associated with the company been convicted of or are in the process of being investigated by any regulatory or governmental body for Modern Slavery related offences?Have you or any of your officers, employees or other persons associated with the company been convicted of or are in the process of being investigated by any regulatory or governmental body for Modern Slavery related offences?

Yes

Organisation and governance

Have you been operating more than 3 years?Have you been operating more than 3 years?

Yes

Do you have more than 20 employees? Do you have more than 20 employees?

Yes

Do you have an annual turnover of more than £3m?Do you have an annual turnover of more than £3m?

Yes

Does your company have a risk and compliance function which takes care of any business and (where applicable) regulatory risk?Does your company have a risk and compliance function which takes care of any business and (where applicable) regulatory risk?

Yes

Does the executive function of your company have involvement in the company's risk strategy?Does the executive function of your company have involvement in the company's risk strategy?

Yes

Consumer duty

Is your business within the scope of the New Consumer Duty Regulations?Is your business within the scope of the New Consumer Duty Regulations?

Yes

Do you have a vulnerable customer policy?Do you have a vulnerable customer policy?

Yes

Do you have a complaints policy?Do you have a complaints policy?

Yes

Insurance

Does your company have a professional indemnity insurance policy (PII)?Does your company have a professional indemnity insurance policy (PII)?

Yes

Does your company have a cyber insurance policy or cyber risk coverage as part of another insurance policy?Does your company have a cyber insurance policy or cyber risk coverage as part of another insurance policy?

Yes

Are you working with bud as a payment initiation service (PIS)?Are you working with bud as a payment initiation service (PIS)?

Yes

Are you working with bud as a account information system (AIS)?Are you working with bud as a account information system (AIS)?

Yes

Risk Controls and Audit

Which of the following best describes your risk management framework (please select one)

In relation to your risk making, policies and procedures, please could you select which of the following best describes your approach to auditing your risks, compliance and where applicable, policies and procedures