CEA Guidelines Overview

Revised Forms Pursuant to CEA Guidelines - Effective 30 June 2025

Customer Due Diligence (CDD)

Comprehensive forms for individual and entity client verification

Individual Clients

Form A1 Customer Particulars (Individual)
Form A3 Acting on behalf of another Individual
Form A4 Acting on behalf of Entity/Legal Arrangement
Form B Risk Determination & Screening

Entity/Legal Arrangement Clients

Form A2 Customer Particulars (Entity)
Form A3 Acting on behalf of another Individual
Form A4 Acting on behalf of Entity/Legal Arrangement
Form B Risk Determination & Screening
Enhanced Due Diligence: Form C required for higher risk transactions
On-going Monitoring: Form D required for ongoing client relationships

Unrepresented Counterparty (UCPDD)

Specialized forms for unrepresented counterparty due diligence

Individual UCPs

Form U1 UCP Particulars (Individual)
Form U3 Acting on behalf of another Individual
Form U4 Acting on behalf of Entity/Legal Arrangement
Form U5 Risk Determination & Screening

Entity/Legal Arrangement UCPs

Form U2 UCP Particulars (Entity)
Form U3 Acting on behalf of another Individual
Form U4 Acting on behalf of Entity/Legal Arrangement
Form U5 Risk Determination & Screening
Enhanced Due Diligence: Form U6 required for higher risk transactions
On-going Monitoring: Form D required for ongoing client relationships

Key Requirements

Form B/U5 required for each person in the transaction

Enhanced due diligence forms for higher risk transactions

Form D required for ongoing monitoring of client relationships

All forms effective from 30 June 2025