KYC & AML Compliance Checklist

Know Your Customer — Anti-Money Laundering

DUE DILIGENCE FRAMEWORKS

All Frontier Global Nexus · Commission-Only · allfrontierglobal.com

Due Diligence Scope

Due Diligence Checklist

• Collect all required corporate and identification documents
• Verify legal entity registration in country of incorporation
• Conduct sanctions screening against all applicable lists (OFAC, EU, UN, UK)
• Check PEP (Politically Exposed Person) status for all UBOs and directors
• Obtain and verify trade references — minimum 3 from existing counterparties
• Review financial statements or auditor report for last 2-3 years
• Check for adverse media, litigation history, regulatory actions
• Conduct factory/site audit if physical goods mandate (or virtual audit)
• Verify all required certifications and licences for the mandate vertical
• Assess country risk and payment risk for the counterparty jurisdiction

Red Flags — Escalate Immediately

• Counterparty appears on any sanctions or denied parties list
• UBO cannot be identified or beneficial ownership is obscured
• Inconsistent documentation, reluctance to provide standard information
• History of trade fraud, documentary fraud, or commercial disputes
• Country risk rating D (highest risk) or ECGC Special Approval country
• Unexplained advance payment requests or deviation from standard trade finance

AJG Due Diligence Policy

All Frontier Global Nexus conducts basic due diligence on all mandate parties before commencing facilitation. This framework is provided for use by principals in their own counterparty assessment process.

allfrontierglobal.com/active-mandates.php — all 69+ active mandates are pre-qualified parties