[{"data":1,"prerenderedAt":-1},["ShallowReactive",2],{"doc-detail-169583-en":3,"doc-seo-169583-105":30,"detail-sidebar-cat-1-en-105":91},{"code":4,"msg":5,"data":6},0,"success",{"doc_id":7,"user_id":8,"nickname":9,"user_avatar":10,"doc_module":11,"category_id":12,"category_name":13,"doc_title":14,"doc_description":15,"doc_content":16,"file_id":17,"file_url":18,"file_type":19,"file_size":20,"view_count":4,"is_deleted":4,"is_public":11,"is_downloadable":11,"audit_status":11,"page_count":21,"language":22,"language_code":23,"site_id":24,"html_lang":23,"table_of_contents":25,"faqs":26,"seo_title":27,"seo_description":15,"update_tm":28,"read_time":29},169583,2336474466412,"\tJames","https://ap-avatar.wpscdn.com/davatar_155a257f0dc6eb9ab79c44ca47cae57d",1,17,"Forms","AFME Post Trade - Due Diligence Questionnaire for use in 2026 - Completion","AFME Post Trade Due Diligence Questionnaire defines how counterparties complete due diligence for post-trade activities in 2026. The questionnaire instructs respondents to follow the numbering and exact wording of all questions and provides completion guidance, including criteria for when an entity is considered to provide client money services. It includes a disclaimer limiting reliance and liability, and it sets conditions for receipt under AFME website Terms of Use, treating the questionnaire as a Material for those purposes.","AFME Post Trade\nDue Diligence Questionnaire\nfor use in 2026\nThe AFME Due Diligence Questionnaire is available to any party to use. However, to maintain the integrity of the document, we ask users to recognise and respect the numbering and wording of all questions.\nPlease find below instruction for completion:\nClient money services definition:\nYou would be considered as providing a client money service if you are holding money on behalf of our underlying clients and have been advised:\nThat you are required to keep that money separate from our own money;\nThat the money is being held by us in our capacity as trustee under the laws applicable to us and this has been documented between us in a contractual arrangement such as an acknowledgement letter;\nThat you do not have any recourse or right against the money in the account(s) in respect of any sum owed to you, or owed to any third party, on any other account; and\nThat you are required to release on demand all money in the account(s) upon proper notice and instruction from us or a liquidator, receiver, administrator or trustee (or similar person) appointed for us in bankruptcy (or similar procedure) in any relevant jurisdiction.\nDisclaimer\nThe AFME Due Diligence Questionnaire (the “Questionnaire”) is not intended to be and should not be relied upon as being legal, financial, investment, tax, regulatory, business or other professional advice. None of AFME, represents or warrants that it is accurate, suitable or complete and none of AFME, or their respective employees or consultants shall have any liability arising from, or relating to, the use of this Questionnaire or its contents.\nYour receipt of this document is subject to paragraphs 3, 4, 5, 9, 10, 11 and 13 of the Terms of Use which are applicable to AFME’s website (available at \u0013 HYPERLINK \"http://www.afme.eu/en/about-us/terms-conditions/\" \u0014http://www.afme.eu/en/about-us/terms-conditions/\u0015) and, for the purposes of such Terms of Use, this document shall be considered a “Material” (regardless of whether you have received or accessed it via AFME’s website or otherwise).\u000f\u0013 TOC \\f \\h \\u \\o \"1-5\"  \\* MERGEFORMAT \u0014\n\u0015\n\u0003Contents\n\u0013 TOC \\o \"1-3\" \\h \\z \\u \u0014\u0013 HYPERLINK \\l \"_Toc202447880\" \u00141 Credentials\t\u0013 PAGEREF _Toc202447880 \\h \u00148\u0015\u0015\n\u0013 HYPERLINK \\l \"_Toc202447881\" \u00141.1 Respondent information\t\u0013 PAGEREF _Toc202447881 \\h \u00148\u0015\u0015\n\u0013 HYPERLINK \\l \"_Toc202447882\" \u00141.2 Your name\t\u0013 PAGEREF _Toc202447882 \\h \u00148\u0015\u0015\n\u0013 HYPERLINK \\l \"_Toc202447883\" \u00141.3 Your regulatory environment\t\u0013 PAGEREF _Toc202447883 \\h \u00149\u0015\u0015\n\u0013 HYPERLINK \\l \"_Toc202447884\" \u00141.4 Your group\t\u0013 PAGEREF _Toc202447884 \\h \u001412\u0015\u0015\n\u0013 HYPERLINK \\l \"_Toc202447885\" \u00141.5 Insurance\t\u0013 PAGEREF _Toc202447885 \\h \u001415\u0015\u0015\n\u0013 HYPERLINK \\l \"_Toc202447886\" \u00141.6 Your strategy\t\u0013 PAGEREF _Toc202447886 \\h \u001415\u0015\u0015\n\u0013 HYPERLINK \\l \"_Toc202447887\" \u00141.7 Your organisation\t\u0013 PAGEREF _Toc202447887 \\h \u001417\u0015\u0015\n\u0013 HYPERLINK \\l \"_Toc202447888\" \u00141.8 Your performance\t\u0013 PAGEREF _Toc202447888 \\h \u001422\u0015\u0015\n\u0013 HYPERLINK \\l \"_Toc202447889\" \u00142. Asset safety and custody\t\u0013 PAGEREF _Toc202447889 \\h \u001425\u0015\u0015\n\u0013 HYPERLINK \\l \"_Toc202447890\" \u00142.1 Regulations, laws and market practices\t\u0013 PAGEREF _Toc202447890 \\h \u001425\u0015\u0015\n\u0013 HYPERLINK \\l \"_Toc202447891\" \u00142.2 Your accounts\t\u0013 PAGEREF _Toc202447891 \\h \u001431\u0015\u0015\n\u0013 HYPERLINK \\l \"_Toc202447892\" \u00142.3 Central Securities Depository (CSD)\t\u0013 PAGEREF _Toc202447892 \\h \u001433\u0015\u0015\n\u0013 HYPERLINK \\l \"_Toc202447893\" \u00142.4 Control and reconciliation\t\u0013 PAGEREF _Toc202447893 \\h \u001435\u0015\u0015\n\u0013 HYPERLINK \\l \"_Toc202447894\" \u00142.5 Physical holdings (answer if applicable)\t\u0013 PAGEREF _Toc202447894 \\h \u001440\u0015\u0015\n\u0013 HYPERLINK \\l \"_Toc202447895\" \u00142.6 Building security\t\u0013 PAGEREF _Toc202447895 \\h \u001444\u0015\u0015\n\u0013 HYPERLINK \\l \"_Toc202447896\" \u00143. Risk mitigation\t\u0013 PAGEREF _Toc202447896 \\h \u001446\u0015\u0015\n\u0013 HYPERLINK \\l \"_Toc202447897\" \u00143.1 Operational controls\t\u0013 PAGEREF _Toc202447897 \\h \u001446\u0015\u0015\n\u0013 HYPERLINK \\l \"_Toc202447898\" \u00143.2 Risk management\t\u0013 PAGEREF _Toc202447898 \\h \u001447\u0015\u0015\n\u0013 HYPERLINK \\l \"_Toc202447899\" \u00143.3 Audit\t\u0013 PAGEREF _Toc202447899 \\h \u001448\u0015\u0015\n\u0013 HYPERLINK \\l \"_Toc202447900\" \u00143.4 IT Di","cbCaio2ppgPjnlGQ","https://ap.wps.com/l/cbCaio2ppgPjnlGQ","docx",365828,124,"English","en",105,"# Contents\n## Credentials\n## Asset safety and custody\n## Risk mitigation\n## Your systems\n## Core services\n## Custody questions","[{\"question\":\"How should the questionnaire be completed?\",\"answer\":\"Users should recognize and respect the numbering and wording of all questions, and follow the provided completion instructions.\"},{\"question\":\"When is an entity considered to provide a client money service?\",\"answer\":\"When it holds money on behalf of underlying clients under specific conditions, including segregation from the entity’s own money, trustee capacity documentation, limited recourse to the money, and required release on demand upon proper notice.\"},{\"question\":\"What does the disclaimer state about reliance and liability?\",\"answer\":\"The questionnaire is not intended as legal, financial, investment, tax, regulatory, business, or other professional advice. AFME does not warrant the document’s accuracy, suitability, or completeness and disclaims liability related to its use.\"}]","AFME Post Trade - Due Diligence Questionnaire for use in 2026 - Completion | DOCX",1788257553,43,{"code":4,"msg":31,"data":32},"ok",{"site_id":24,"language":23,"slug":33,"title":14,"keywords":34,"description":15,"schema_data":35,"social_meta":86,"head_meta":88,"extra_data":90,"updated_unix":28},"afme-post-trade-due-diligence-questionnaire-for-use-in-2026-completion","",{"@graph":36,"@context":85},[37,54,68],{"@type":38,"itemListElement":39},"BreadcrumbList",[40,44,48,51],{"item":41,"name":42,"@type":43,"position":11},"https://docshare.wps.com","Home","ListItem",{"item":45,"name":46,"@type":43,"position":47},"https://docshare.wps.com/template/","Template",2,{"item":49,"name":13,"@type":43,"position":50},"https://docshare.wps.com/template/forms/",3,{"item":52,"name":14,"@type":43,"position":53},"https://docshare.wps.com/template/afme-post-trade-due-diligence-questionnaire-for-use-in-2026-completion/169583/",4,{"url":52,"name":14,"@type":55,"author":56,"headline":14,"publisher":58,"fileFormat":61,"inLanguage":23,"description":15,"dateModified":62,"datePublished":62,"encodingFormat":61,"isAccessibleForFree":63,"interactionStatistic":64},"DigitalDocument",{"name":9,"@type":57},"Person",{"url":41,"name":59,"@type":60},"DocShare","Organization","application/vnd.openxmlformats-officedocument.wordprocessingml.document","2026-09-01",true,{"@type":65,"interactionType":66,"userInteractionCount":11},"InteractionCounter",{"@type":67},"ViewAction",{"@type":69,"mainEntity":70},"FAQPage",[71,77,81],{"name":72,"@type":73,"acceptedAnswer":74},"How should the questionnaire be completed?","Question",{"text":75,"@type":76},"Users should recognize and respect the numbering and wording of all questions, and follow the provided completion instructions.","Answer",{"name":78,"@type":73,"acceptedAnswer":79},"When is an entity considered to provide a client money service?",{"text":80,"@type":76},"When it holds money on behalf of underlying clients under specific conditions, including segregation from the entity’s own money, trustee capacity documentation, limited recourse to the money, and required release on demand upon proper notice.",{"name":82,"@type":73,"acceptedAnswer":83},"What does the disclaimer state about reliance and liability?",{"text":84,"@type":76},"The questionnaire is not intended as legal, financial, investment, tax, regulatory, business, or other professional advice. AFME does not warrant the document’s accuracy, suitability, or completeness and disclaims liability related to its use.","https://schema.org",{"og:url":52,"og:type":87,"og:title":14,"og:site_name":59,"og:description":15},"article",{"robots":89,"canonical":52},"index,follow",{"doc_id":7,"site_id":24},{"code":4,"msg":5,"data":92},[93,98,103,108,113,118,121,126,131],{"id":94,"doc_module":11,"doc_module_name":46,"category_name":95,"show_sort_weight":96,"slug":97},11,"Presentations",90,"presentations",{"id":99,"doc_module":11,"doc_module_name":46,"category_name":100,"show_sort_weight":101,"slug":102},12,"Resumes",80,"resumes",{"id":104,"doc_module":11,"doc_module_name":46,"category_name":105,"show_sort_weight":106,"slug":107},14,"Invoices",70,"invoices",{"id":109,"doc_module":11,"doc_module_name":46,"category_name":110,"show_sort_weight":111,"slug":112},15,"Posters",60,"posters",{"id":114,"doc_module":11,"doc_module_name":46,"category_name":115,"show_sort_weight":116,"slug":117},16,"Social Media",50,"social-media",{"id":12,"doc_module":11,"doc_module_name":46,"category_name":13,"show_sort_weight":119,"slug":120},40,"forms",{"id":122,"doc_module":11,"doc_module_name":46,"category_name":123,"show_sort_weight":124,"slug":125},18,"Letters",30,"letters",{"id":127,"doc_module":11,"doc_module_name":46,"category_name":128,"show_sort_weight":129,"slug":130},21,"Paper Templates",5,"papers-templates",{"id":132,"doc_module":11,"doc_module_name":46,"category_name":133,"show_sort_weight":4,"slug":134},158,"General","general-158"]