Anti-Money Laundering Due Diligence Questionnaire and Attestation

This document is a guide for prospective applicants of Kraken who provide services in various financial sectors, including cryptocurrency exchanges and investment firms. It outlines the mandatory Anti-Money Laundering (AML) and Counter-Terrorist Financing (CTF) due diligence questionnaire and attestation process. The purpose of this questionnaire is to ensure compliance with relevant regulatory authorities' AML and CTF programs. Each question must be answered from the perspective of the legal entity, and if any questions receive a 'No' or 'N/A' response, additional context is required. The questionnaire serves as a formal attestation, confirming that the legal entity meets necessary requirements and has implemented measures to prevent money laundering and terrorist financing. The document also includes sections on entity ownership, compliance officer designation, risk assessments, customer identification, and transaction monitoring, ensuring thorough due diligence in accordance with applicable laws and regulations.