Client Risk Profile Form

Business Risk
Legal Name of Entity
Type of Business (circle as appropriate)
- Individual
- Corporation
- Partnership
Is your organization publicly listed and where? (if applicable)
Does the organization have legal trade license
- Yes
- No
Legal trade license
Number of years in business
Does the organization have sister concerns under same Management?
- Yes
- No
Please list
Attach their Trade License
Does the Organization have their financial audited periodically by independent licensed Audit Firms
- Yes
- No
List the date of last Financial Audit

Country and Sectoral Risk
Does the Organization have operations in other countries?
- Yes
- No
List the countries
Does the country in which the Organization activities are taking place have effectively implemented anti-bribery legislation?
Has the organization previously worked in high corruption risk country?
- Yes
- No
Please specify
Has the organization recently acquired or merged with any organizations in counties with perceived high levels of corruption.
- Yes
- No
Specify the countries

Business Associates Risk

External Party with whom the organization has, or plans to establish, some form of business relationship (ISO37001:2016 3.26)
Is this organization working through; (tick as appropriate)
- Intermediaries
- Joint ventures
- Ventures Consortia
- Affiliates
Has the organization previously worked in high corruption risk country? If yes, please specify. (sectoral risk)
Business Associates
Please provide names of Business Associates (if applicable)
Repeater
Legal Name
Country
No. of Years of relationship
Services/ Activities provided by Business Associate
Untitled
Attach additional sheet if necessary

Legal
Has the company ever been subject to legal proceedings, or the threat of them? If so provide details:
Are there outstanding Bribery/Corruption/Criminal offence cases that has yet not be resolved?
Has organization ever been the subject of media or internet attention, suspicious rumors, or law enforcement scrutiny for criminal activities, improper business practices or other issues related to business or personal integrity? If Yes, please specify:
Is the organization subject to any legal/regulatory requirement. If Yes, please specify the list of regulatory bodies
BANKRUPTCY Have you been declared bankrupt in the last six (6) years from the date of application? If Yes, please specify

Relationship to Government Organizations or Public Officials

person holding legislative, administrative, military or judicial office for any country

-person exercising a public function for any country, government or governmental agency

-employee of a government-owned or controlled enterprise

-official or agent of a public international organization

-political party or official of a political party

As such, Public Officials include honorary government officials; members of boards, officers, directors and employees of governmental, quasi-governmental or government-owned companies; some members of royal or ruling families; and officials of such public international organizations as the World Bank, International Monetary Fund and the World Trade Organization.
Interaction with public officials
- Directly
- Through Intermediaries / Third Parties
Is any key employee/ senior management a Public Official? If yes, kindly include their name and designation in the organization
Is there a risk of relationship with politically sensitive person/ public official?

Internal Governance
Is there a Compliance department/ Anti- bribery compliance function
Is there structured decision making?

Transaction Risk
Is the organization involved in charitable donations?
Is the organization involved in political donations?
Does the transactions involving licenses, permits and transactions related to public procurement which brings employees and others into frequent contact with public officials? (If yes, please attach with the form)
Is the organization involved in projects which involves a number of contractors and intermediaries/?
Does the project involve below market prices?
Does the project involve a tendering exercise?

Top Management Risk Assessment

(To be completed on behalf of Top management)
Has Top Management ever been convicted of any litigation?
Has Top Management ever served or been sentenced to a term of imprisonment?
Has Top Management ever been convicted of any offence under any provision of the financial markets legislation or any offence under any provision of any foreign act governing auditors, financial markets or financial services, corporations, financial reporting, or requirements for preventing money laundering?
Has Top Management ever been banned from acting as a director of a company or other incorporated body, of from being involved in the management of any class of incorporated or unincorporated entity?
Has Top Management ever been subject to disciplinary action against them by any professional body or disciplinary tribunal, where those actions resulted in penalties being imposed or censure?
Has Top Management ever had a court ruling against them in respect of a civil case, or has reached an out of court settlement, relating to their profession?
Has Top Management ever been declined membership of any professional body, or has been declined any registration, license, authorization or accreditation required in relation to any profession by any public body, self-regulatory organization or exchange, or has had any such membership, registration, license, authorization or accreditation revoked or withdrawn?
Has Top Management ever been dismissed, or asked to resign, from a position of trust, fiduciary appointment or similar position?
Has Top Management ever been placed into statutory management, or has been a director of a company which has been placed into statutory management?
Has Top Management ever, in the last 10 years, been a director or senior manager of a company, or other incorporated or unincorporated entity, which has been placed into liquidation, administration or receivership, entered into any compromise agreement, moratorium or other restructuring to avoid liquidation, administration or receivership?
Has Top Management subject to pending proceedings which, if any adverse finding is reached, will result in one or more of the matters set out in the paragraphs above applying to you?

Impartiality
Self-Review- Is the organization utilizing services of CRI Certifications parent or subsidiary organizations, or other entities having a close contractual relationship with the CRI Certification.
Familiarity (or trust)- Does the organization know any personnel of CRI Certification on personal level?

Declaration
I certify that the statements made in this application are valid and complete to the best of my knowledge. I understand that providing false or misleading information to Corporate Research and Investigations LLC and its subsidiaries may constitute grounds for withdrawal of application process and/or legal action. I further declare that any documents that I provide as proof of companyâ€™s identity, proof of address, proof of right to work and any other documents that I provide are genuine and give my consent for these documents to be examined Should the circumstances be subject to change prior to the on-site visit for auditing which would reasonable affect the outcome of the auditing process, I declare to report the same immediately to the CRI Certification in writing.*
- I understood the Declaration.

Business Risk

Country and Sectoral Risk

Business Associates Risk

Business Associates

Risk from Personnel

Legal

Relationship to Government Organizations or Public Officials

Internal Governance

Transaction Risk

Top Management Risk Assessment

Impartiality

Declaration

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