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Client Risk Assessment

The document outlines a Client Risk Assessment Questionnaire that identifies high-risk clients based on their positions in foreign or domestic contexts. It specifies various roles, such as members of royal families, political leaders, and senior officials, that categorize clients as high risk. This classification is part of the accountable institution's Risk Management and Compliance Programme.

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Severine Coward
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4 views1 page

Client Risk Assessment

The document outlines a Client Risk Assessment Questionnaire that identifies high-risk clients based on their positions in foreign or domestic contexts. It specifies various roles, such as members of royal families, political leaders, and senior officials, that categorize clients as high risk. This classification is part of the accountable institution's Risk Management and Compliance Programme.

Uploaded by

Severine Coward
Copyright
© All Rights Reserved
We take content rights seriously. If you suspect this is your content, claim it here.
Available Formats
Download as PDF, TXT or read online on Scribd

FICA: Client Risk Assessment Questionnaire

In the event that the prospective client, or the individual in effective control of a prospective client (“Client”) falls under any
of the categories set out in the table below, then they are to be treated as a “high risk Client” in terms of the accountable
institution’s Risk Management and Compliance Programme.

Foreign Client Domestic Client

(Select yes if the Client has held any of the following Tick (Select yes if the Client has held any of the following Tick
positions in a foreign country) if yes positions in the Republic of South Africa) if yes

Member of royal family President or deputy president of South Africa

Member of cabinet or similar structure Cabinet minister or deputy minister

Senior member or leader of a political party Premier of a province

Senior judicial officer Member of executive council of a province

Senior executive of a state-owned entity Mayor of a municipality

High-ranking military officer Leader of a political party

Member of a royal family or a senior traditional leader

Head, accounting officer or chief financial officer (“CFO”) of


a national or provincial department

Manager or CFO of a municipality

Chairperson, chief executive officer, accounting authority,


CFO or chief investment officer of a public entity;

A prominent Judge in the Constitutional Court, Supreme


Court of Appeal or the High Court or any equivalent Court

Ambassador, high commissioner or senior representative of


a foreign country who is based in South Africa

Person occupying any of the following positions in a


company that sells goods or services to the government
worth more than (an amount yet to be gazetted) -
a) Chairperson of the board of directors;
b) Chairperson of audit committee;
c) Executive officer; or
d) CFO

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