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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.

View list of recommended documents

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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.

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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 info@grcwatch.com

Distribution oversight

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.

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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.

See steps

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.

See 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.

See steps

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.

See steps

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).

See latest versions

Self Certification Tax Reporting Purposes

You can view a general template and download the fillable word document via the link below.

View and download template

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).

See latest version

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.

See steps

Send a message to GRC WATCH

Contact our support.

Our team will receive your support errand and get back to you ASAP You can also give us a call if you would like:

+46 (0) 8 66 99 200