HCDD-RPAF-10-2025-R00
Level 3 (Confidential)
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Customer Due Diligence & Risk Profile Assessment Form
Enter the customer and assess the risk factors to see the overall result.
Part I — CDD Risk Rating
Total score0
Risk ratingLow
Requisite CDDSimplified Due Diligence (SDD)
Part II — Risk Profile
Total points0
Risk rating—
Required approval—
I. Risk-Based Customer Due Diligence (CDD) · Low 0–5 · Med 6–9 · High 10+
Section 1 · CDD Risk Rating
Tick each applicable risk indicator (Yes). Scores add up. Low = 1, Medium = 2, High = 3.
A. Customer Risk — Comply Advantage
A.1 Screening Findings — Entity
A.2 Screening Findings — Individuals / Ultimate Beneficial Owners (UBOs) and Directors / Shareholders (≥ 25% interest)
Subtotal — Customer Risk0
B. Product / Business Risk—
3
2
1
Subtotal — Product Risk (highest selected)0
C. Geographic Risk
—
Section 2 · Risk Rating for CDD
Total score0RatingLow
Section 3 · Requisite CDD
Applicable levelSimplified Due Diligence (SDD)
II. Customer Risk Profile Assessment · Low 7–9 · Med 10–15 · High 16–21
Section 1 · Risk Factor Scoring
Tick every applicable indicator — multi-select. Each factor is scored by the highest risk level selected.
Customer Type—
3
2
1
Geography / Jurisdiction—
3
2
1
Tick “Domestic” to record the Province and Town / City (scored Medium 2).
Nature of Business / Activity—
3
2
1
Products / Services to be Availed—
3
2
1
Delivery Channel—
3
2
1
Expected Transaction Behaviour—
3
2
1
Total Points0
Section 2 · Customer Risk Profile
Rating—Required approval—
Section 3 · Ongoing Monitoring Plan
Triggers for Re-Assessment
Section 4 · Required Approvals before onboarding / renewal
| Role | Name / Designation | Signature | Date |
|---|---|---|---|
| Prepared by | |||
| Reviewed by | |||
| Approved by |
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Level 3 (Confidential) · HCDD-RPAF-10-2025-R00Uncontrolled copy when printed
HIRBPI · Legal and Compliance · Customer Due Diligence & Risk Profile Assessment · HCDD-RPAF-10-2025-R00