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Examples: beneficial owner, PEP, red flags, continuous monitoring

Guide Contents

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1
Introduction
Fundamentals and context of the guide
2
Scope, Objectives and Users
Target audience and objectives
3
Institutional Framework
CONCLAFIT, UAF and supervisory entities
4
Essential Criteria
Guiding principles of DD
5
DD Methodology
Identification, verification, beneficial owner
6
Risk-Based DD
SDD, EDD, and PEP treatment
7
Ongoing Due Diligence
Updates and continuous monitoring
8
Red Flags
Identification of unusual operations
9
Documentation Retention
Filing and retention requirements
10
Derived Actions
What to do with DD findings
11
What is NOT DD
Elements that do not constitute DD
12
Practical Cases
Examples by sector: banking, fiduciary, securities