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Counterparty KYC checklist
Summary verification parameters used in our onboarding and periodic reviews. This is general guidance only and may be adapted by transaction, jurisdiction, and bank requirements.
Download PDFSame checklist as a printable PDF.
Identity & legal existence
- Registered legal name, trade names, and commercial registration (CR) number.
- Certificate of incorporation / trade licence and good standing where applicable.
- Registered address, operating locations, and corporate website.
Ownership & control
- Ultimate beneficial owners (UBOs) with ownership or control thresholds per applicable law.
- Board and senior management identification for material counterparties.
- Corporate structure chart for complex groups.
Business & trade profile
- Commodity types, typical trade routes, and expected volumes or ticket sizes.
- Banking relationships and primary settlement currencies.
- Prior trade references or audited financials when required by risk tier.
Sanctions, AML & integrity
- Sanctions and PEP screening with escalation for potential matches.
- Source of funds / wealth for higher-risk relationships where required.
- Adverse media checks proportionate to risk.
Documentation
- Authorised signatory list and specimen signatures or board resolutions.
- Copies of key licences (e.g. regulated activity, import/export where relevant).
- Signed compliance representations and contact for compliance queries.