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5.1.4. Identification of Politically Exposed Persons
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LEGAL ENTITIES LEGISLATION
FINANCIAL SERVICES LEGISLATION
REGULATIONS
RULES
GENERAL RULES
CONDUCT OF BUSINESS RULES
ANTI-MONEY LAUNDERING AND COUNTER-TERRORIST FINANCING AND SANCTIONS RULES
1. INTRODUCTION
2. APPLICATION
3. GUIDANCE ON KAZAKHSTAN CRIMINAL LAW
4. THE RISK BASED APPROACH
5. CUSTOMER RISK ASSESSMENT
5.1. Assessing customer money laundering risks
5.1.1. Requirement to conduct a customer risk assessment
5.1.2. Timing of the customer risk assessment
5.1.3. Conduct of the customer risk assessment
5.1.4. Identification of Politically Exposed Persons
5.1.5. Identification of control structure
5.1.6. Prohibition on relationships with Shell Banks
6. CUSTOMER DUE DILIGENCE
7. ENHANCED DUE DILIGENCE
8. SIMPLIFIED DUE DILIGENCE
9. RELIANCE AND OUTSOURCING
10. CORRESPONDENT BANKING
11. WIRE TRANSFERS
11-1. TRANSFER OF DIGITIAL ASSETS
11-2. DIGITAL ASSET TRANSFER COUNTERPARTY DUE DILIGENCE AND ADDITIONAL MEASURES
12. SANCTIONS
13. MONEY LAUNDERING REPORTING OFFICER, THRESHOLD TRANSACTIONS, SUSPICIOUS TRANSACTIONS AND TIPPING OFF
14. GENERAL OBLIGATIONS
Figure 1 – The Risk Based Approach
Figure 2 – Customer Risk Assessment
COLLECTIVE INVESTMENT SCHEME RULES
AUTHORISED MARKET INSTITUTION RULES
MARKET RULES
RECOGNITION RULES
DEMATERIALISED INVESTMENT RULES
RULES FOR PRE-IPO LISTINGS
SOVEREIGN BONDS RULES
BANKING BUSINESS PRUDENTIAL RULES
PRUDENTIAL RULES FOR INVESTMENT FIRMS
PRUDENTIAL RULES FOR INSURANCE INTERMEDIARIES
INSURANCE AND REINSURANCE PRUDENTIAL RULES
ISLAMIC BANKING BUSINESS PRUDENTIAL RULES
ISLAMIC FINANCE RULES
TAKAFUL AND RETAKAFUL PRUDENTIAL RULES
REPRESENTATIVE OFFICE RULES
AIFC AUDITOR RULES
AIFC Financial Technology Rules
COOPERATION AND EXCHANGE OF INFORMATION RULES
TERMS AND PROCEDURE FOR CURRENCY TRANSACTIONS
FINANCIAL SERVICES EXEMPT FROM CORPORATE TAX
GLOSSARY
FEES RULES
RULES ON CURRENCY REGULATION AND PROVISION OF INFORMATION ON CURRENCY TRANSACTIONS IN THE AIFC
RULES ON THE SUBSTANTIAL PRESENCE OF THE AIFC PARTICIPANTS APPLYING TAX EXEMPTIONS FOR THE PAYMENT OF CIT, VAT
MULTILATERAL AND ORGANISED TRADING FACILITIES RULES
AIFC RECOVERY AND RESOLUTION RULES
AIFC RULES ON DIGITAL ASSET ACTIVITIES
RULES AND MECHANISMS OF COOPERATION OF UNBACKED DIGITAL ASSET EXCHANGES AND/OR CENTRE PARTICIPANTS AUTHORIZED TO CARRY OUT DIGITAL ASSETS-RELATED ACTIVITIES WITH SECOND-TIER BANK OF THE REPUBLIC OF KAZAKHSTAN
AIFC RULES ON PROVIDING MONEY SERVICES
POLICIES AND POLICY STATEMENTS
NOTICES
GUIDANCE
TEMPLATE
CONSULTATION PAPERS
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5.1.3. Conduct of the customer risk assessment
5.1.5. Identification of control structure