CHECKLIST 

PROJECT ARTEMIS TRANSFERS COMPLIANCE

 

To be completed by the Project Manager.

OF ENTITY: HERSCHORN MRS DER . SETTLEMENT

 

CLIENT REFERENCE: 45118
(Ansbacher PC Law number)

CONNECTED PARTIES: ORCHARD LIMITED 40195

To be completed by the Compliance Officer.

Any Conflict Check issues? 
(NB this includes the World Check review)
If yes, what is/ are the specific issues(s)? (Attach results)

Signed:

R9mwu?


 

To be completed by the Compliance Officer

Is this file KYC Compliant? 

If not compliant, what are the deficiencies? (tick appropriate box)

No KYC file or documents on KYC file El
PER VIEWPOINT KYC REQUIRED ON:

HUGH MEYOR SASSOON - BENEFICIARY
SARAH LOUISE VAN HALLE - BENEFICIARY
ADRIAN DAVID SASSOON - BENEFICIARY
SIMON NICHOLAS ABRAHAMS - BENEFICIARY
ANDREW LEONARD ABRAHAMS - BENEFICIARY
JAMES MEYOR SASSOON - BENEFICIARY



 

R: \Ansbacher Compliance reviews\Checklist Compliance - HERSCHORN MRS DER 

MISSING DOCUMENTS

 

NAME OF HUGH MEYOR SASSOON

ROLE OF FICIA RY

A Deficiencies
No original certified photo ID on file
No original certified evidence of address

No professional or bank reference

DQEIEI

Other

 

Deficiencies

El

Original certified photo ID expired

El

Reconfirm address

 

NAME OF SARAH LOUISE VAN HALLE
ROLE OF ENTITY: EFICIA RY

A Deficiencies (SEE FILE 45003)

 

No original certified photo ID on file El
No original certified evidence of address El
No professional or bank reference 
Other El

Deficiencies

Original certified photo ID expired El
Original copy of ref. proof of address El

 

R: \Ansbacher Compliance reviews \Checklist Compliance HERS CHORN MRS DER . 

NAME OF ADRIAN DAVID SASSOON

ROLE OF ENTITY: BENEFICIARY

A Deficiencies
No original certified photo iD on file
No original certified evidence of address

No professional or bank reference

Until:

Other

 

Deficiencies



Original certified photo 1D

Updated proof of address 

 

NAME OF SIMON NICHOLAS ABRAHAMS

ROLE OF ENTITY: EFICIA RY

A Deficiencies

 

No original certified photo ID on file El
No original certified evidence of address El
No professional or bank reference 
Other El
Deficiencies

Original certified photo ID expired. El
Reconfirm residential address El

 

R:\Ansbacher Compliance reviews \Checklist - Compliance HERSCHORN MRS DER - 

NAME OF ANDREW LEONARD ABRAHAMS

ROLE OF ENTITY: FI CIA RY

A Deficiencies

No original certified photo ID on file El

No original certified evidence of address El

No professional or bank reference 9/
El

Other

 

Deficiencies
Original certified photo ID expired.

Reconfirm residential address El

 

NAME OF JAMES MEYOR SASSOON
ROLE OF ENTITY: BENEFICIARY

A Deficiencies

 

No original certified photo ID on file El

No original certified evidence of address 

No professional or bank reference 51/
Other El

Deficiencies

Original certified photo ID expired El

Other 

 

Signed: QM



 

R:\Ansbaclier Compliance reviews \Checklist Compliance HERS CHORN MRS DER 

To be completed by Ian Patrick

Any 

Any Litigation 

m.
Signed: 

Further review by signatory 

X.
Signed: .Qmw

Authorised Signature

 

R: \Ansbacher Compliance reviews \Checklist - Compliance HERSCHORN MRS DER