- Document templates
- Due diligence
Recommended documents for DD & KYC
For successfully sharing your company profile in response to DD and KYC requests, it is important that you always include relevant documents in your company profile. Our list of recommended documents below will help you to effectively provide your counterparties with the information they are looking for.
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Part 1 - ESG by GRC - Improve responses to due diligence
It’s time-consuming to respond to questionnaires by each investor. At the same time, it can be challenging for investors and fund selectors to get the right answers from asset managers.
Part 2 & 3 - ESG by GRC - Challenges with ESG ratings and ESG data
Why ESG ratings vary so widely, how to collect ESG data and what to do about it. Panelists talk about challenges related to the collection of ESG data and how to use the data in practice.
CSSF Circular 18/698 & result of on-site visits
Discussion about the criteria that CSSF is mentioning as guidance for due diligence on delegates including distributors. The 30 min webinar also covers the result of on-site visits at asset management firms, which is mentioned in the CSSF Annual Report 2019., followed by conclusions on oversight and due diligence.
- Document templates
- Due diligence
Part 2 - How will the new EFT impact fund distribution?
The history of distributor feedback: who defines it and what it is used for. An overview is provided of the content in the proposed EFT and how some firms plan to be using it. At the end of the session, questions are asked to Susanna von Langsdorff, Compliance Expert at GRC WATCH and Ulf Herbig, Head of Product Management at KNEIP & representative of ALFI.
Checklist for due diligence
The 11-step checklist for due diligence. 30 min webinar covering the following areas: description of responsibilities internally, risk assessing different types of distributors and process related to the product governance lifecycle. If you wish to receive the checklist, send a message to GRC WATCH or email firstname.lastname@example.org
A few reasons why Lannebo Fonder chose GRC WATCH for due diligence on distributors but also for due diligence on Lannebo (fund manager). Daniel Sundqvist, Head of Sales and Marketing at Lannebo Fonder.
3 questions about DD on distributors
Samantha Skurtveit, Product Management Specialist at Skagen Funds shares her experience with due diligence on distributors. What are the challenges with KYD? Who are involved? What advice can be given?
Target Market Feedback Reporting
Do you need a confirmation that sales of funds have been within defined (positive) target market? Linda Hellström and Susanna von Langsdorff share the most common Q&As they get about target market feedback reporting.
Share your profile as a response
Complete your profile and share it with any company that has sent you a due diligence (DD) request. You can add up to 3 companies as a reader for free. Afterwards you will start to pay a subscription fee dependent on the number of companies you would like to share your profile with.
New design, same GRC WATCH
15th of September 2020 we are live with our new design. With the help of the design firm MoiMoi, we have updated the visual look and hope it will improve the user experience.
Increase collaboration internally
Do you need help from your team to fill in your profile? Would you like to work with your colleagues together on different kinds of due diligence matters just in one place? You can always easily invite your colleagues to become users in your company account by following the next steps.
Ask follow-up questions
If you are missing information to close your due diligence, send a message to your partner and ask them to add it to their profile. You can also ask them to send a unique document straight to you.
Send a message
Inform your partners about your DD requirements, send files one-to-one or let them know about relevant changes to your legal entity.
Respond to the request and give access
If you have received an inbox message where a company wants to read your profile, you can respond to the request. Granting access will add them to the list of companies reading your profile.
Wolfsberg CBDDQ & FCCQ
Via the link below you can find the latest versions of the Wolfsberg questionnaire: Correspondent Banking Due Diligence Questionnaire (CBDDQ) and Financial Crimes Compliance Questionnaire (FCCQ).
Self Certification Tax Reporting Purposes
You can view a general template and download the fillable word document via the link below.
Certificate of Status of Beneficial Owner
Via the link below you can find the latest version of the W8-BEN-E form, Certificate of Status of Beneficial Owner for US Tax Withholding and Reporting (Entities).
Send a reply to your partner
If you have received a question on an answer you have given in the DDQ, you can respond directly to your partner as well as send additional documents one-to-one.