Free Client Risk Assessment Form - New Zealand

Client Risk Assessment Form for New Zealand

Client Risk Assessment Form Template for New Zealand

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What is a Client Risk Assessment Form?

The Client Risk Assessment Form is a critical compliance tool used by New Zealand organizations to evaluate and document the level of risk associated with new and existing client relationships. This document is essential for meeting obligations under the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 and other relevant New Zealand regulations. It enables organizations to collect and assess key information about clients, including their identity, business activities, source of funds, and various risk factors. The form supports organizations in applying a risk-based approach to client due diligence, helping them determine appropriate levels of due diligence and ongoing monitoring requirements. It serves as both a practical tool for risk assessment and a documentary evidence of compliance with regulatory obligations.

What sections should be included in a Client Risk Assessment Form?

1. Client Information: Basic identification and contact details of the client, including full name, date of birth, address, and contact information

2. Purpose of Business Relationship: Client's intended purpose and nature of the business relationship with the organization

3. Source of Funds/Wealth: Information about the client's source of funds and wealth, including supporting documentation

4. Risk Factor Assessment: Evaluation of key risk factors including geographic risk, product/service risk, delivery channel risk, and client type risk

5. PEP Status Declaration: Declaration regarding Politically Exposed Person status and associated relationships

6. Assessment Summary: Overall risk rating calculation and justification for the assigned risk level

7. Due Diligence Measures: Specification of the level of due diligence required (simplified, standard, or enhanced)

8. Reviewer Information: Details of the staff member conducting the assessment, including their role and sign-off

What sections are optional to include in a Client Risk Assessment Form?

1. Entity Structure: For corporate clients - details of ownership structure, beneficial owners, and control arrangements

2. Industry-Specific Risk Factors: Additional risk factors specific to certain industries or business types

3. Transaction Profile: Expected transaction patterns and volumes, used for high-value or complex business relationships

4. Sanctions Screening: Additional sanctions screening section for high-risk clients or international transactions

5. Related Party Information: Information about associated individuals or entities, used when complex relationships exist

What schedules should be included in a Client Risk Assessment Form?

1. Risk Matrix: Detailed risk scoring matrix showing how different factors contribute to the overall risk rating

2. Required Documentation Checklist: List of required documents based on client type and risk level

3. Geographic Risk Classifications: Reference list of country risk ratings and classifications

4. Industry Risk Classifications: Reference list of industry types and their associated risk levels

5. Monitoring Requirements: Schedule of ongoing monitoring requirements based on risk level

Authors

Alex Denne

Head of Growth (Open Source Law) @ Genie AI | 3 x UCL-Certified in Contract Law & Drafting | 4+ Years Managing 1M+ Legal Documents | Serial Founder & Legal AI Author

Relevant legal definitions

Clauses

Relevant Industries

Financial Services

Banking

Insurance

Investment Management

Legal Services

Accounting Services

Real Estate

Trust and Company Service Providers

Financial Advisory

Wealth Management

Credit Providers

Foreign Exchange Services

Relevant Teams

Compliance

Risk Management

Legal

Client Onboarding

Operations

Customer Due Diligence

Front Office

Client Relations

Regulatory Affairs

Internal Audit

Relevant Roles

Compliance Officer

Risk Manager

AML/CFT Compliance Manager

Client Onboarding Specialist

Due Diligence Officer

Relationship Manager

Compliance Analyst

Risk Assessment Specialist

Senior Compliance Manager

Client Services Manager

Legal Counsel

Operations Manager

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Download a Standard Template

What is a Client Risk Assessment Form?

What sections should be included in a Client Risk Assessment Form?

What sections are optional to include in a Client Risk Assessment Form?

What schedules should be included in a Client Risk Assessment Form?

Authors

Alex Denne

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