a. all due diligence and enhanced due diligence files created; b. documents identifying the rules and alerts placed in your processing and compliance systems to identify and segregate transactions related to the clients, accounts, identified PEPs, other public officials, those who have recently left public office, and beneficial owners; and the documents related to any transactions or question that triggered an alert; and c. the identity of any BANK ABC employee handling the due diligence files and the alert systems related to this order. Incoming and Outgoing Wire Transfers and Related Documents 12. Documents related to incoming and outgoing, domestic or cross-border funds transfers (for example, by Fedwire, CHIPS, or CHAPS) for or on behalf of any person or beneficial owner referenced above, including but not limited to, wire transfer request forms, advice statements, confirmation statements, debit memos, journal entries, or internal logs. 13. Documents related to SWIFT messages originating, terminating, or passing through BANK ABC and any related intermediary or correspondent institution, for or on behalf of any person or beneficial owner referenced above, including but not limited to a. SWIFT messages, including but not limited to SWIFT MT 100, MT 103, MT 202, MT 202 Cov, MT 199, and MT299 messages and any other SWIFT message (including those related to securities and trade transactions); b. fax, mail, e-mail, or telephone instructions; wire transfer request forms; advice statements; confirmation statements; debit memos; journal entries; or internal logs; and c. any “repair items� or rejected funds transfers or SWIFT messages; and any documents related to the repair and retransmission of the funds transfer or SWIFT message related to the persons, legal entities, and beneficial owners referenced above. 14. SWIFT bank identifier codes (BICs) for BANK ABC, including its business lines (for example, private banking), subsidiaries, and branches for which the codes differ from the main BIC code. 15. All names by which BANK ABC and its subsidiaries are identified. Account Transactions 16. Documents related to funds that went into or out of any BANK ABC account related to any person or beneficial owner referenced above, including client orders, deposit slips, deposit items (front and back), withdrawal slips and cancelled checks (front and back), debit and credit memos, book transfers, and interbank transfer slips related to any person or beneficial owner referenced above. 17. Documents sent to or received from any intermediary or correspondent financial institution related to any person or beneficial owner referenced above.
Sample Document Production Order for Financial Institutions
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