FICA Questionnaire (Companies & Close Corps)

  • FINANCIAL INTELLIGENCE CENTRE ACT RISK MANAGEMENT AND COMPLIANCE PROGRAMME (RMCP)

    JULY 2023

  • COMPULSORY FICA QUESTIONNAIRE

    Please note that the information herein collected is required in terms of the Financial Intelligence Centre Act 2001 as amended and will be used for purposes stipulated within the FIC Act. In terms of the provisions contained in the POPIA 2013, and in line with the Privacy Policy of THE BUSINESS, information herein completed will not be shared with third parties unless so indicated or unless it is necessary to give effect to your transaction and then only with other professionals involved in the transaction. Please note that some of the information you have supplied may need to be shared with outside authorities for formal verification purposes (such as the Deeds Office, FIC, SARS, the Court or similar) and your signature of this form constitutes your permission for THE BUSINESS to share the information accordingly.

  • COMPANY INFORMATION

  • Format: (000) 000-0000.
  • Is the company an accountable institution

  • FICA QUESTIONNAIRE

    Customer/client identification is an international requirement and we, an accountable institution as defined in the Financial Intelligence Centre Act and Regulations, are obliged to identify our customer/clients. In terms of sections 21, 21A, 21B, 21C and 21E of the FIC Act, we are also obliged to identify and verify: * bank accounts used for purposes of payments to or from you and *the source and origin of the cash monies. These questions below are compulsory
  • Public Company
  • State Owned Company
  • Please confirm whether the company holds any bank accounts with banking institutions outside of South Africa
  • Are any of the directors, members, shareholders, or office bearers involved in trading of dual-use goods subject to export control or is there any connection with a university or research facility involved in trading of dual-use goods or goods subject to export control
  • Are any of the directors, members, shareholders, or office bearers involved in group of businesses activities directly or indirectly linked with the manufacturing or sale of arms or weapons?
  • Are any of the directors, members, shareholders, or office bearers a domestic or foreign Politically Exposed of Influential Person or a family member or associate of such a person (this will be verified)

  • DIRECTOR INFORMATION

  • COMPANY VERIFICATION DOCUMENTS

    Please take note that we require documentary proof for verification purposes of the following items:

    • Resolution of Authorised Signatories
    • Company shareholding structure (of which certain natural/legal persons will be subject to further due diligence)
    • FOR COMPANIES REGISTERED PRIOR TO 1 MAY 2011: Certificate of incorporation (CM1), Certificate to commence GROUP OF BUSINESSES (CM46), Certificate to commence name change (CM9) – Only if applicable, Memorandum (CM2/CM4 - about 4 pages) AND Articles of Association (CM44 - about 6-9 pages)
    • FOR COMPANIES REGISTERED AFTER 1 MAY 2011: Registration certificate (Cor 14.3); OR Notice of Incorporation (Cor 14.1); OR If name has changed (Cor 15.2); OR Notice of conversion (Cor 18.3) if CC was converted; OR independently obtained CIPC.
    • Letterhead confirming operating address as well as trading name
    • Proof of Identification for all Directors, Shareholders & Authorised Signatories
    • Proof of Address for all Directors, Shareholders & Authorised Signatories

    We may also require documentary proof for verification purposes at any stage of the transaction or business relationship which may include the following items:

    • Tax Clearance/Official document from SARS confirming Income Tax and/or VAT Numbers
    • Completion of the FICA form for natural persons by all Directors, Managers & Authorised Signatories
    • Proof of banking details
    • Proof of Source of Income (only if required)

    CLOSE CORPORATION VERIFICATION DOCUMENTS

    Please take note that we require documentary proof for verification purposes of the following items:

    • Resolution of Authorised Signatories
    • Copy of Incorporation Documents (CIPC) reflecting registered name & address 
    • Letterhead confirming operating address as well as trading name
    • Proof of Identification for all Members and authorised Signatories
    • Proof of Address for all Members and authorised Signatories

    We may also require documentary proof for verification purposes at any stage of the transaction or business relationship which may include the following items:

    • Tax Clearance/Official document from SARS confirming your Income Tax Number
    • Completion of the FICA form for natural persons by all Members and authorised Signatories
    • Proof of banking details
    • Proof of Source of Income (only if required)
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  • DECLARATION:

    I confirm that all the information completed on both the Company/Close Corporation FICA questionnaire together with the information completed on this Company/Close Corporation Representative FICA questionnaire IS CORRECT and that I have truthfully completed all such questions. I confirm further that the Company/Close Corporation on whose behalf I am acting as Representative does not trade in illegal activities.

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