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Customer Due Diligence
Customer Due Diligence
Eurex Clearing AG is legally required by the German Money Laundering Act and the EU Money Laundering Directive to conduct a due diligence process on its customers. As Clearing House and Credit Institution we have been conducting a KYC assessment as a part of our customer acceptance process as well as periodically during the ongoing business relationship on a risk-based approach. The high standards we have set herewith are helping us to maintain a high level of integrity and to mitigate customer compliance risk effectively. This is a benefit for our clients and us. On this website, we would like to provide you with current information about the required documentation that we request from our customers.
In order to minimize the administrative impact on our customers, the KYC Service Team has implemented the following steps:
- We are a member of the SWIFT KYC Registry. We are happy to utilize the relevant KYC files in the SWIFT network as soon as our customers have made the most recent documentation available there.
- Only documents that are not available at this stage will be requested from our customers directly by the KYC Service Team.
All KYC-related documents are reviewed by the KYC Service Team as soon as available. After an additional business assessment has been performed, our Compliance function will conduct the final assessment. We reserve the right to request further documentation if required. Please consider that questions may occur at any time during this process and colleagues of the KYC Service Team may reach out to you.
Letter of Consent
In order to simplify the KYC review for multiple business relations with Group Deutsche Börse (GDB) entities, we recommend submitting the “Letter of Consent”. The Letter of Consent enables entities of Deutsche Boerse Group to share KYC documents between group entities. This decreases the administrative burdens for our customers – e.g. a DC Market Participant of Eurex Clearing and a Eurex Trading Member will only have to provide the KYC documents once to Eurex Clearing AG rather than sending the documentation twice. The Letter of Consent is here availble: Letter of Consent.
Sanctions
Eurex Clearing is required to comply with all applicable laws and regulations, including economic or other sanctions. As a matter of policy, Eurex Clearing requires that all its clients fill in the Certification of Sanctions Compliance. Please provide complete and correct information in the DDQ tab Certification and sign-off. The signatures by the Head of Correspondent Banking and the Money Laundering Responsible Officer or equivalent functions are required. If you don’t screen against any of the sanctions lists mentioned in the DDQ, please provide a solid reasoning to the KYC team, which will be subject to review. If you have any further question, please contact the KYC team proactively.
Compliance Contacts
We send the automated document requests to the compliance contact that is maintained in our Member Section. If you have not yet registered a Compliance Contact in the Member Section, we kindly ask you to do so under the following path: www.eurexclearing.com > Member Section > Contacts > Compliance Contacts. If feasible in your organization, please indicate a group email address for the Compliance function in your company, so you do not have to update the entry when responsibilities in your company change.
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If you have any questions or require further information, please do not hesistate to contact us at: ecag.client-due-diligence@eurexclearing.com.
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