Compliance Questionnaire - Credit Union/Caisse Populaire sector

Part A

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Organization's name and Head Office address:
Please indicate the type of premises for the above Head Office address: Commercial / Retail, Residential / Dwelling House, or (If other, specify)
Name of owner/broker/nominee:
Name and title of the individual completing questionnaire:
Contact information:
Business telephone:
Business fax:
E-mail:

A1 - How many branches or locations does your organization have?

A2 - How many employees are there in your entire organization?

A3 - Do you conduct transactions for non-members?

A4 - Does your organization have agents operating in Canada? (Agents could include individuals such as Deposit agents, Mortgage representatives, Investment representatives, etc.)

A5 - Are you an agent of any other organization? e.g. Travellers cheque, money orders etc.

A6 - If you answered yes to question A5, provide the name(s) of the organization(s) you are an agent for:

A7 - Is your organization a wholly-owned subsidiary of any other entity subject to the Proceeds of Crime (Money Laundering) and Terrorist Financing Act and Regulations? If so, what is the name and address of this entity?

A8 - Does your organization own any other entities that are subject to the Proceeds of Crime (Money Laundering) and Terrorist Financing Act and Regulations? If so, what are the names and addresses of these entities?

A9 - Is your organization engaged in any other activities subject to the Proceeds of Crime (Money Laundering) and Terrorist Financing Act and Regulations? If yes, please specify the nature of these activities: Life Insurance, Sale of Securities, Other (specify)

A10 - Please indicate the approximate asset size of your organization $___

A11 - Has your organization been subject to an anti-money laundering compliance review by your Regulator since June 12, 2002?

A12 - If you answered yes to question A11, what is the name of the Regulator and the date of the last review?

Part B

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B1 - Have you fully implemented a compliance regime in your organization? Refer to Fintrac's Web site Guideline 4. http://www.fintrac-canafe.gc.ca/publications/guide/Guide4/4-eng.asp

B2 - If you answered no to question B1, at what stage of implementation is your compliance regime? If there is not enough room below, attach a separate sheet to provide all the relevant information. Make sure to indicate that this information belongs in answer B2.

Part C

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C1 - Have you appointed a compliance officer responsible for implementing your compliance regime to meet your reporting, record-keeping and client identification obligations?

C2 - If you answered yes to question C1, provide the compliance officer's name.

C3 - Does your compliance officer report directly to senior management of your business? (Senior management could be the chief operating officer of the business, any senior executive or the Board of Directors.)

Part D

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D1 - Do you have policies and procedures to ensure your reporting, record keeping and client identification requirements are being met?

D2 - To your knowledge, has your organization conducted financial transactions within the last 12 months that either originated from or were destined to individuals or entities based in any of the countries on the Financial Action Task Force (FATF) List of Non-Cooperative Countries or Territories? For information about this list, please refer to FINTRAC's advisories at http://www.fintrac-canafe.gc.ca/publications/avs/1-eng.asp

D3 - If you answered yes to question D2, which countries were involved and approximately how many transactions were conducted with each country? If there is not enough room below, attach a separate sheet to provide all the relevant information. Make sure to indicate that this information belongs in answer D3.

D4 - Does your organization cross-reference the names of clients with any anti-terrorism lists of names published by the Canadian government? For more information about these, please refer to the List of Names Subject to the Regulations Establishing a List of Entities made under subsection 83.05(1) of the Criminal Code or the United Nations Suppression of Terrorism Regulations provided by the Office of the Superintendent of Financial Institutions at http://www.osfi-bsif.gc.ca

Part E

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E1 - Have you implemented a process for reviewing the compliance policies and procedures to determine their effectiveness?

E2 - Has such a review already been conducted for your organization?

E3 - If you answered yes to E2, How often do you conduct a review?

E4 - If you answered yes to question E2, the review was conducted by: (Check all that apply) Your Compliance Officer, External Reviewer, Other Internal reviewer, Other

E5 - If you answered yes to E2, when was the review completed?

E6 - Are the results of the review documented?

Part F

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F1 - Does your company/organization provide training about your reporting, record keeping and client identification obligations?
If you answered yes to question F1, answer question F2.

F2 - Describe how your training is delivered. Include information about the mode and frequency of delivery as well as a general description of who is required to take the training. If there is not enough room below, attach a separate sheet to provide all the relevant information. Make sure to indicate that this information belongs in answer F2.

Mode of training: In a classroom with trainer/Seminar, Self-directed, Computer-based, Other
Frequency of training: Yearly, More often than yearly (e.g., seasonally, quarterly, etc.) , When new staff is hired , In special circumstances, Other
Who receives the training: All Staff, Brokers / Nominees / Managers, Sales Representatives, Other
Type of material: Handouts, Test, Presentation or group discussion, Other