Internal Use Only

KYC & Deal Screening Checklist

Confidential screening tool for compliance verification, sanctions checks, and anti-fraud assessment.

Origination Package / KYC & Deal Screening
Part A — Preliminary Screening
Assess each item based on information provided by the client and independent verification.
Screening Item Status Notes
1. Transaction size is realistic relative to stated company scale
2. Identifiable and verifiable underlying commercial activity exists
3. No request for guaranteed funding or pre-approved instruments
4. No involvement of sanctioned jurisdictions (OFAC, EU, UN lists checked)
5. No inconsistent or contradictory information provided
6. No pressure tactics or requests for immediate issuance
7. Client willing to provide documentation and undergo KYC
8. No complex unexplained intermediary chains identified
9. Transaction has a clear and legitimate commercial purpose
10. Entity has verifiable operating history
Part B — KYC Documentation
Track receipt and verification status of all required KYC documents.
KYC Item Received Verified Notes
1. Certificate of Incorporation / Business Registration
2. Government-Issued ID of Beneficial Owner(s)
3. Proof of Business Address
4. Organizational Chart / Ownership Structure
5. Sanctions Screening — Beneficial Owner(s) (OFAC/EU/UN)
6. Sanctions Screening — Entity Name
7. Adverse Media / PEP Check — Beneficial Owner(s)
8. Source of Funds Declaration (if applicable)
9. Bank Reference Letter (if available)
10. Financial Statements (if available)
Part C — Anti-Fraud Red Flags
Note: Any "Yes" response requires escalation and documented rationale before proceeding.
Red Flag Indicator Present Action Required
1. Newly formed entity with disproportionately large transaction request
2. Fabricated or unverifiable supporting contracts
3. Instrument described as "guaranteed," "pre-approved," or "ready to issue"
4. Request to bypass, abbreviate, or avoid due diligence
5. Identity inconsistencies between submitted documents
6. Advance fee scheme indicators (fees demanded upfront to release instruments)
7. Circular or self-referential transaction structure
8. Unverifiable counterparty or beneficiary
9. Jurisdictional opacity — entities registered in multiple high-risk jurisdictions
10. Communication pressure — urgency, threats, or aggressive follow-up
Part D — Mandate Decision