Client Due Diligence Report

Financial Services

Swiss financial intermediaries must meet numerous compliance requirements when entering into business relationships and in existing business relationships. For example, the financial intermediary must maintain an informative and up-to-date KYC profile for its clients.

If there are indications of increased risks (domicile/residence in a risk country, sensitive activity/industry, complex structure etc.) or unusual circumstances (unusual transaction behaviour etc.) in the case of prospective or existing clients, the financial intermediary must carry out additional investigations in accordance with the AMLO-FINMA. Through an in-depth check for compliance-relevant information, the Client Due Diligence Report of BDO supports you in adequately assessing the legal and reputational risks of a prospective or existing client and in making the right decisions.

We support you with industry-specific know-how in efficiently assessing the legal and reputational risks of a business relationship. 

Key sources of information

  • Sanctions lists (national and international)
  • PEP status
  • Compliance-relevant information in publicly available sources
  • Structured media research (adverse media; possible links to money laundering, terrorist financing, tax evasion, fraud, forgery of documents, etc.; multilingual)
  • Further Black-/Watchlists

Procedure

  1. Secure transmission of names of individual or legal person to BDO
  2. Research/screening by BDO
  3. Evaluation and assessment of the results by BDO
  4. Documentation of the results in a PDF Client Due Diligence Report by BDO
  5. Delivery of the structured and auditable due diligence report
  6. Final evaluation of the results (and responsibility) is up to you
  7. Possibility of carrying out a periodic check at your request

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Key contacts