Hana Bank Tokyo Branch
AML/ CFT Questionnaire
In accordance with our AML Policy, we need to verify the identity of our counterparties who have acorrespondent arrangement (e.g. SWIFT RMA) with us through this AML/CFT questionnaire.
While this form is basically geared towards BANKS, we kindly ask all of our valued FI customers
including non-bank financial institutions to reply to this Questionnaire.
In this questionnaire, we refer ourselves, Hana Bank, Tokyo Branch, as “KOEXJPJT”.

SECTION 1 GENERAL INFORMATION
1. Full legal name
2. Full legal (registered) address*address of your branch/unit if you are
not Head Office.
(Also, please provide business(operating) address, if it is different
from the above legal (registered)address)
3. SWIFT BIC (11 digits)
4. Date of establishment/incorporation
5. Official Website address
6. Location (city, country) of the Head
Office7. Location (city, country) of the
branches and principal subsidiaries
8. Applicable Regulatory bodies
9. Banking license

No (our institution is a non-bank financial institution)
YES

Also, please provide the information ofyour banking license or any otherDate:applicable license such as
Licensing Body:
Commercial License.
Country:
10. Is your institution operating under
offshore banking license?

No
YES ® Please provide the license information
below.
Date:
Licensing body:Country:

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11. Does your institution have a branch ora subsidiary operating under offshorebanking license?

No
YES ® Please provide the license information
below.
Date:
Licensing body:Country:

12. Name of external auditor(s)13. Listing (stock exchange):
Is your institution’s shares listed on
any stock exchange markets?

No
YES ® Please provide the information below.
Name of stock exchange:
Stock symbol :14. Number of employees
SECTION 2 OWNERSHIP STRUCTURE AND MANAGEMENT INFORMATION
15. Shareholders:
Please list all of your institution’sshareholders with shareholding
greater than 5%.

1) Name:
Percentage of ownership (%)2) Name:

Percentage of ownership (%)3) Name:

Percentage of ownership (%)
16. Government ownership:
Is your institution agovernment-owned institution*1?

No
YES

1

* An entity which is owned by agovernment with shareholding of morethan 50% either directly or indirectly.

17. Who is the ultimate beneficial owner(UBO) *2 of your institution?

Name:
Percentage of ownership (%):
Title (position):
Date of Birth:
Country of Domicile:
Other Position (if any):
Note: Please provide information of all UBOs by adding
lines.

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*2

Q17
(supplementary explanation related to UBO)
(A) If your institution adopts the principle of capital majority rule (e.g. a joint-stock corporation, etc.)i) The natural person(s) who holds 25% or more of the shares with voting rights directly and indirectly⇒UBOii) (If the above i) does not apply,) the natural person(s) who exercises control over the business activities⇒UBOiii) (If the above i) and ii) do not apply,) the natural person(s) who represents the legal person andexecutes its business ⇒UBO

(B) If your institution does NOT adopt the principle of capital majority rule (e.g. an incorporated
foundation, etc.,)i) The natural person(s) who is entitled to receive 25% or more of the dividend or distribution of the total
profit/property, or the natural person who exercises control over the legal person through means otherthan holding the entitlement to receive the distribution ⇒UBOii) (if the above i) does not apply,) the natural person(s) who represents the legal person and executes its
business ⇒UBO

18. Are there any Politically Exposed
No(
Persons “PEP”) in the UBOs? If Yes,
YES ® Please provide information below.
please provide information of all PEPs
acting as UBO.
1) Name:Title (position):
A “PEP” is a domestic or foreign individual
Date of Birth：
entrusted with or otherwise holding aCountry of Domicile:prominent public function. Family
Other Position (if any):members, their associates as well as legal
Type of PEP: Domestic PEP / Foreign PEP /entities established for the benefit of aInternational Organization PEP
PEP are also regarded as PEPs.

Note: Please provide information of all PEPs in the UBOs byadding lines.
*3
If there are any Foreign PEP(s) , please provide
information on the source of wealth as well as sourceof funds of such PEP(s).
*3

19. Please provide information of yourinstitution’s principal senior
management: Executive committee’s
members (e.g. Chairman, President,
Chief Executive Officer, Chief
Financial Officer, Deputy Chairman,
Deputy President or other seniordirectors). If an executive committee
does not exist, members of the boardof directors.

Foreign PEP is an individual who is or has been entrustedwith prominent public functions by a foreign country.

1) Name:Title (position):
Date of Birth:
Country of Domicile:
Other Position (if any):
Type: Executive / Non-Executive (Independent)
2) Name:Title (position):
Date of Birth:
Country of Domicile:
Other Position (if any):
Type: Executive / Non-Executive (Independent)

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3) Name:

Title (position):
Date of BirthCountry of Domicile:
Other Position (if any):
Type: Executive / Non-Executive (Independent)
Note: Please provide information of senior management
including at least three members of top level ofexecutive committee.
In addition, please provide all senior management
either by adding lines or by attaching list of themembers.

20. Are there any PEP(s) in the senior
management? If Yes, please provide
information of all PEPs acting as
senior management.

No
YES, ® Please provide information below.
1) Name:Title (position):
Date of BirthCountry of Domicile:
Other Position (if any):
Responsibility/roles in management:
Delegation of authority for management:
Type of PEP: Domestic PEP / Foreign PEP /International Organization PEP
Note: Please provide information of all senior managementby adding lines.
*3
If there are any Foreign PEP(s) , please provide
information on the source of wealth as well as sourceof funds of such PEP(s).
*3

SECTION 3

Foreign PEP is an individual who is or has been entrustedwith prominent public functions by a foreign country

NATURE OF YOUR INSTITUTION’S BUSINESS

21. Please describe your institution’s typeof legal entity.

Limited company
Cooperative bank
Joint-stock bank
Saving bank (under social law)Non-banking financial institution
Government-owned bank (over 50 percent, direct orindirect
Others, please specify:

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22. Business activities:
1) Please indicate areas of yourinstitution’s business activities.

Commercial banking
Retail banking
Investment banking
Asset management
Private banking (Wealth management towards highnet worth individuals (HNWIs)
Others, please specify:2) From the activities selected in theabove questions (Commercial
banking, retail banking, etc.), if
your bank is focused on a specificbusiness activity/activities, pleaseindicate the businessactivity/activities in which yourbank is focused on.
23. Products and services
1) Please describe your institution’s
principal products and services.

Yes. We focus on the below business activities.
(Please choose from the activities selected)
1)2)Trade finance products (e.g. FX, letter of credit,
ECA financing, et al)
Lending activities
Trust and asset management services
Investment products (e.g. securities, commercial/government bonds)
Correspondent banking
International funds transfers
Others, please specify:2) Does your institution provide fundsNotransfer services to your customers
Yesthrough MSBs (such as cross-borderIf yes, please provide following information:fund remittance utilizing MSB’s service - Are all of your counterparty MSBs regulated?
platform)?
- Where are such MSBs located(domestic/international)- What are the currencies of funds transfer through
MSBs?
- Local currency clearing or cross-border clearing?
-Name of MSB with which your institution has alliance.
24.
25.
26. Please provide information on thetypes of business conducted with
KOEXJPJT:
1) KOEXJPJT’s products and services
other than Nostro Account; and2) purposes of products and services
described above.

1) Product & Service

2) Purpose

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27. Does your institution handle (sell orbuy) travelers checks or demand
drafts?

No
YES

28.
29. Payable Through Account*2:
Does your institution allow yourcustomers to have direct access toyour correspondent account as a
sub-account holder?

No
YES

2

* Payable-through accounts are demand
deposit accounts maintained at financial
institutions by foreign banks or
corporations. The foreign bank funnels thedeposits and checks of its customers(usually individuals or businesses locatedoutside the country) into a single accountthat the foreign bank holds at the local
bank. The foreign customers have signingauthority over the account as sub-accountholders, and can thereby conduct normalinternational banking activities.

30.
31.
32. Nested Account*3/ Downstream
Correspondent Clearing Services:
Is your correspondent account being
used to provide nested account or
downstream correspondent clearing
services to other financial institutions?

No
YES

3

* Nested accounts occur when a financial
institution accesses the financial system inanother country (in effect anonymously)
by operating through a correspondentbanking account belonging to anotherfinancial institution.

33.
34.

SECTION 4

NATURE OF YOUR CUSTOMER’S INDUSTRY SECTOR AND TRADING AREA

35. 1) Customer’s business/ Market
served:Please provide industry sectors ofwhich your institution’s customers
belong to.

Manufacture;
Agriculture:
Service:
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Real Estate:
Money Service Bureaus:
Government related entities;
Other, please specify:2)From the sector selected in theabove questions (Manufacture,
Agriculture, etc.), if there are any
concentration to a specific sector,
please indicate the sector in which
there is concentration.
36. Are there any sanctioned jurisdictions
or high risk country amongst thecountries where your institution or
your institution’s customer conducts
business? If yes, please specify thecountries and types of businessactivities.
37. Please list or attach information of:1) your “SSI (Standard Settlement
Instructions)”,2) Nostro institutions, or any otherpartnering institutions for network
management purpose; and3) Name of Institution, Country,
Currency and Type of Partnership.

There is concentration of customer’s business /market served for the below indicated sectors.
1) Manufacture
2)

No
YES ® please specify the countries and type ofbusiness below:
Country:
Business activity:
1)

2)

3)

Information Attached
38. Do any of the listed financial institutionsin Q37 operate under offshore banking
license?

SECTION 5No
YES ® please provide name of applicableinstitutions and type of business below:

AML/CFT REGULATORY ENVIRONMENT – About your institution

39. In the past two years, has yourNo
institution received any civil or criminal
YES ® please provide below information.
penalties, etc. due to failures identified
in your institution’s AML/CFT
1) Date: (agreement with the authorities,
program?
announcement by the authorities, press release, etal):2) Type of regulator’s action: (cease and desist order,

differed prosecution agreement, et al):3) Enforcement agencies and other regulators

involved:
4) Nature of the findings or wrongdoings:

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5) Corrective actions and principal achievements to

date:

SECTION 6
institution

AML AND COMPLIANCE POLICIES AND PROCEDURES – About your40. Transaction Monitoring*4:
Does your institution have atransaction monitoring system toautomatically detect suspicious
activities/ transactions?

No
YES ® please provide the name of the transaction
monitoring system.
System Name:*4Transaction monitoring is a function
to manually or systematically detectsuspicious activities/ transactions tofile SARs/STRs to the relevant
authorities.
41. Sanctions Screening*5:
No
Does your institution have a sanctions
YES ® please provide the name of the sanction
screening system to automaticallyscreening system.
detect a transaction which may involve
any sanctioned party?
System Name:*5Sanctions screening is a function to
detect a transaction which may involve
any sanctioned party manually orsystematically in a real time basis
against relevant sanctions lists. Also, itsometimes includes a function to
manually or systematically search forsanctioned entities amongst new andexisting customers.
42. How frequently does your institution
review or update AML policies andprocedures?
43. When was the last time yourinstitution’s AML policies andprocedures were updated?
44. Please provide information of yourinstitution’s Chief Compliance Officer.

Name:
Title:

45. Please provide the contact point of
AML/CFT control at your institution.

Name:
Title:
Division:
Email:

46. Please list information of Divisions
responsible for AML/CFT in yourinstitution.

Division:
Location:
Number of Staff:
Average of Experience:

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47. As a measure to mitigate AML risk, doesNo
your institution have any policies to
YES
mitigate ML risks associated with
If yes, please provide description of such policies, if
business activities of your institution, or business activities of your institution or your customers
your customers, located in a sanctioned located in a sanctioned jurisdiction or high risk country.
jurisdiction or a high risk country?
48. Third Party Vendors
Does your institution employ third party
vendor(s) to perform any KYC/ AML
functions?

No
YES ® please provide below information.
1) Function:2) Name of Third Party Vendor:

49. Does your institution have a system andcontrol to request and record beneficial
owner details for all corporate andcorrespondent customers?

NO
YES

50. Do your institution screen beneficial
owners against sanctions lists or PEPs*
database?

NO
YES

51. Does your institution conduct periodic
AML/CFT risk assessment on all
corporate and correspondent
customers?

NO
YES ® please describe the risk assessment
procedure below:

52. Please describe risk classifications (e.g.
high/ medium/ low) and frequency of aperiodical review (e.g. 12/ 18/ 24/ 36
months).

SECTION 7

REQUIRED DOCUMENTS - In addition to this form, please provide the following items tous

53 WOLFSBERG AML QUESTIONNAIRE
Please provide the latest Wolfsberg
Questionnaire (No.1 to No.28) preparedby your own institution, or fill in thefollowing blank format sheet(Mandatory).

Attached
Web® please provide web address

54. GROUP AML POLICY
Please provide a copy of your Group
AML/ CFT Policy with list of applicableoverseas branches and subsidiaries.

Attached
Web ® please provide web address
Not Applicable ® please provide a reason.

55. Banking License

Attached
Web ® please provide web address
Not Applicable ® please provide a reason.

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56. Commercial Register

Attached
Web ® please provide web address
Not Applicable ® please provide a reason.

57. Annual Report
Please provide website link of the latest
annual report or send by post mail.

Web ® please provide web address
Post mailThis Form is completed by:Name:
Address:

Authorized Signature
Date:

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