- 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.
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).
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).
- Document templates
- Due diligence
ESG due diligence
Soon we will launch our new services for ESG due diligence. Asset managers will be able to respond to ESG due diligence by sharing a profile with many. At the same time, we will simplify and speed-up the analysis by institutional investors, distributors and other asset managers.
3 types of due diligence
Linnea Wiklund, Head of Fund Selection at Avanza Bank is sharing the ROI when handling 3 different types of due diligence in GRC WATCH. Distributor, fund manager and investor due diligence - in one single place
Share your profile as a response
Fill out your profile and share it with the company that sent a DD request. You can add 2 more readers (companies) and avoid filling out their questionnaires. Once you add the 4th reader (company), you start paying a fee of 40 euro to be able to share with 5 more companies (8 total).
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
Recommendations for DD on distributors
In line with the Swedish Investment Fund Association's recommended DDQ for ongoing due diligence of distributors, GRC WATCH offers the possibility for asset managers to request this template directly in the tool. Distributors save time on responding since the questions match the questionnaire of their profile.
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.
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.
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.
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.
DDQ, document library & contacts
In the profile you can find a questionnaire, a document library and contact persons. The questions in the questionnaire are tailormade for certain types of due diligence.
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?
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.
Knowledge database for network members
In GRC WATCH we have launched a resource library where we will share industry news, knowledge, guidelines and templates for due diligence. The content is produced by compliance experts with over 20 years of experience with due diligence in many directions.