{"text_format":"1","workbook":"xlsx","n_sheets":5,"sheets":["A - Client Customer Risk","B - Distribution Channel Risk","C - Products and Services Risk","D - Attestation","lists"],"not_rendered":{"charts":0,"images":0,"macros":1,"external_links":0,"defined_names":0,"comments":4,"pivot_tables":0},"unopened":[],"bounds":{"document_bytes":16777216,"sheet_cells":100000,"rows_first":2000,"rows_last":500,"rows_between":2000,"halvings":0,"cell_chars":16384,"cell_head_chars":4096},"cells_cut":0,"cells_raw":0,"read":"whole","date_system":"1900"}

{"sheet":"A - Client Customer Risk","index":0,"n_rows":209,"n_cols":9,"rows_kept":209,"cut":false,"hidden":false,"merged":[[8,0,8,4],[172,0,172,4],[200,0,200,4]]}
["AIR-157-75 : AML Inherent Risk - Securities"]
[]
["Enter currency amounts in USD dollars and cents"]
[]
["A - Client/Customer Risk"]
[]
["For purposes of this form, client and customer are used interchangeably, and relate to anyone with or for whom securities investment business is transacted"]
[]
["Clients/Customers - Indicate the types and number of clients/customers the entity has in the following or equivalent categories:"]
[]
["","",""]
["","",null,"Number of Clients/Customers","Geography"]
["___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___"]
["How many clients/customers does the entity have in total?","A01","1",null,null,"Delete Row",null,null,"Delete Row"]
["___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___"]
[null,null,"sequence","value","value"]
[null,null,2,null,null,"Delete Row"]
["Add Row"]
[]
["What is the total value of assets under management within the past 12 months?","A01o"]
[]
["","",""]
["","",null,"Number of Transactions","Value of Assets Held Under Management for This Category Client","Number of clients","Geography"]
["___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___"]
["Government / public sector ","A02","1",null,null,null,null,"Delete Row","Delete Row"]
["___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___"]
[null,null,"sequence","value","value","value","value"]
[null,null,2,null,null,null,null,"Delete Row"]
["Add Row"]
[]
["","",""]
["","",null,"Number of Transactions","Value of Assets Held Under Management for This Category Client","Number of clients","Geography"]
["___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___"]
["Non-profit organisations","A03","1",null,null,null,null,"Delete Row","Delete Row"]
["___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___"]
[null,null,"sequence","value","value","value","value"]
[null,null,2,null,null,null,null,"Delete Row"]
["Add Row"]
[]
["","",""]
["","",null,"Number of Transactions","Value of Assets Held Under Management for This Category Client","Number of clients","Geography"]
["___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___"]
["Financial institutions","A04","1",null,null,null,null,"Delete Row","Delete Row"]
["___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___"]
[null,null,"sequence","value","value","value","value"]
[null,null,2,null,null,null,null,"Delete Row"]
["Add Row"]
[]
["","",""]
["","",null,"Number of Transactions","Value of Assets Held Under Management for This Category Client","Number of clients","Geography"]
["___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___"]
["Non financial institutions","A05","1",null,null,null,null,null,"Delete Row"]
["___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___"]
[null,null,"sequence","value","value","value","value"]
[null,null,2,null,null,null,null,"Delete Row"]
["Add Row"]
[]
["","",""]
["","",null,"Number of Transactions","Value of Assets Held Under Management for This Category Client","Number of clients","Geography"]
["___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___"]
["Individuals","A06","1",null,null,null,null,null,"Delete Row"]
["___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___"]
[null,null,"sequence","value","value","value","value"]
[null,null,2,null,null,null,null,"Delete Row"]
["Add Row"]
[]
["","",""]
["","",null,"Number of Transactions","Value of Assets Held Under Management for This Category Client","Number of clients","Geography"]
["___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___"]
["Corporates ","A07","1",null,null,null,null,null,"Delete Row"]
["___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___"]
[null,null,"sequence","value","value","value","value"]
[null,null,2,null,null,null,null,"Delete Row"]
["Add Row"]
[]
["","",""]
["","",null,"Number of Transactions","Value of Assets Held Under Management for This Category Client","Number of clients","Geography"]
["___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___"]
["Trusts ","A08","1",null,null,null,null,null,"Delete Row"]
["___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___"]
[null,null,"sequence","value","value","value","value"]
[null,null,2,null,null,null,null,"Delete Row"]
["Add Row"]
[]
["","",""]
["","",null,"Number of Transactions","Value of Assets Held Under Management for This Category Client","Number of clients","Geography"]
["___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___"]
["Nominees ","A09","1",null,null,null,null,null,"Delete Row"]
["___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___"]
[null,null,"sequence","value","value","value","value"]
[null,null,2,null,null,null,null,"Delete Row"]
["Add Row"]
[]
["","",""]
["","",null,"Number of Transactions","Value of Assets Held Under Management for This Category Client","Number of clients","Geography"]
["___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___"]
["Special purpose vehicles","A10","1",null,null,null,null,null,"Delete Row"]
["___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___"]
[null,null,"sequence","value","value","value","value"]
[null,null,2,null,null,null,null,"Delete Row"]
["Add Row"]
[]
["","",""]
["","",null,"Number of Transactions","Value of Assets Held Under Management for This Category Client","Number of clients","Geography"]
["___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___"]
["Special economic zone","A11","1",null,null,null,null,null,"Delete Row"]
["___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___"]
[null,null,"sequence","value","value","value","value"]
[null,null,2,null,null,null,null,"Delete Row"]
["Add Row"]
[]
["","",""]
["","",null,"Specify","Number of Transactions","Value of Assets Held Under Management for This Category Client","Number of clients","Geography"]
["___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___"]
["Other","A12","1",null,null,null,null,null,"Delete Row"]
["___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___"]
[null,null,"sequence","value","value","value","value","value"]
[null,null,2,null,null,null,null,null,"Delete Row"]
["Add Row"]
[]
["How many of the clients/customers are: "]
[]
["","",""]
["","",null,"Number of Transactions","Value of Assets Held Under Management for This Category Client","Number of clients","Geography"]
["___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___"]
["High Net Worth (HNW) Individuals - with a net worth of at least CI$ 800,000","A13","1",null,null,null,null,null,"Delete Row"]
["___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___"]
[null,null,"sequence","value","value","value","value"]
[null,null,2,null,null,null,null,"Delete Row"]
["Add Row"]
[]
["","",""]
["","",null,"Number of Transactions","Value of Assets Held Under Management for This Category Client","Number of clients","Geography"]
["___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___"]
["HNW Persons - with total assets of not less than CI$ 4,000,000","A14","1",null,null,null,null,null,"Delete Row"]
["___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___"]
[null,null,"sequence","value","value","value","value"]
[null,null,2,null,null,null,null,"Delete Row"]
["Add Row"]
[]
["","",""]
["","",null,"Number of Transactions","Value of Assets Held Under Management for This Category Client","Number of clients","Geography"]
["___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___"]
["Sophisticated Persons","A15","1",null,null,null,null,null,"Delete Row"]
["___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___"]
[null,null,"sequence","value","value","value","value"]
[null,null,2,null,null,null,null,"Delete Row"]
["Add Row"]
[]
["","",""]
["","",null,"Number of Transactions","Value of Assets Held Under Management for This Category Client","Number of clients","Geography"]
["___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___"]
["HNW and sophisticated persons","A16","1",null,null,null,null,null,"Delete Row"]
["___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___"]
[null,null,"sequence","value","value","value","value"]
[null,null,2,null,null,null,null,"Delete Row"]
["Add Row"]
[]
["","",""]
["","",null,"Number of Transactions","Value of Assets Held Under Management for This Category Client","Number of clients","Geography"]
["___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___"]
["Politically Exposed Persons","A17","1",null,null,null,null,null,"Delete Row"]
["___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___"]
[null,null,"sequence","value","value","value","value"]
[null,null,2,null,null,null,null,"Delete Row"]
["Add Row"]
[]
["What percentage of the entity's client base is considered HNW?","A18"]
["What percentage of the entity's client base is considered sophisticated?","A19"]
["What percentage of the entity's clients are considered HNW and sophisticated? (Do not double count)","A20"]
["Other (specify)","A21"]
[]
["Organizational Structure:"]
[]
["","","","Country"]
["___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___"]
["In which countries are the entity's parent company, affiliates and subsidiaries located?","A22","1",null,null,null,null,null,"Delete Row"]
["___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___"]
[null,null,"sequence","value"]
[null,null,2,null,"Delete Row"]
["Add Row"]
[]
["","",""]
["","",null,"Country","Percentage"]
["___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___"]
["In which countries by percentage of equity ownership are all shareholders of the entity located?","A23","1",null,null,null,null,null,"Delete Row"]
["___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___"]
[null,null,"sequence","value","value"]
[null,null,2,null,null,"Delete Row"]
["Add Row"]
[]
["","",""]
["","",null,"Country","Percentage"]
["___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___"]
["In which countries by percentage of equity ownership are all controllers of the entity located?","A24","1",null,null,null,null,null,"Delete Row"]
["___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___"]
[null,null,"sequence","value","value"]
[null,null,2,null,null,"Delete Row"]
["Add Row"]
[]
["Principal Place of Business"]
[]
["","","","Country"]
["___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___"]
["Where are the entity's principal places of business?","A25","1",null,null,null,null,null,"Delete Row"]
["___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___"]
[null,null,"sequence","value"]
[null,null,2,null,"Delete Row"]
["Add Row"]

{"sheet":"B - Distribution Channel Risk","index":1,"n_rows":62,"n_cols":9,"rows_kept":62,"cut":false,"hidden":false,"merged":[]}
["AIR-157-75 : AML Inherent Risk - Securities"]
[]
["B - Distribution Channel Risk"]
["Distribution Channels"]
["Clients per each distribution channel:"]
[]
["","",""]
["","",null,"Clients/Customers per each distribution channel","Face to Face / Non-Face to Face","Country"]
["___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___"]
["Direct","B01","1",null,null,null,"Delete Row",null,"Delete Row"]
["___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___"]
[null,null,"sequence","value","value","value"]
[null,null,2,null,null,null,"Delete Row"]
["Add Row"]
[]
["","",""]
["","",null,"Clients/Customers per each distribution channel","Face to Face / Non-Face to Face","Country"]
["___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___"]
["Eligible Introducers","B02","1",null,null,null,null,null,"Delete Row"]
["___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___"]
[null,null,"sequence","value","value","value"]
[null,null,2,null,null,null,"Delete Row"]
["Add Row"]
[]
["","",""]
["","",null,"Clients/Customers per each distribution channel","Face to Face / Non-Face to Face","Country"]
["___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___"]
["Referrals within group","B03","1",null,null,null,null,null,"Delete Row"]
["___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___"]
[null,null,"sequence","value","value","value"]
[null,null,2,null,null,null,"Delete Row"]
["Add Row"]
[]
["","",""]
["","",null,"Clients/Customers per each distribution channel","Face to Face / Non-Face to Face","Country","Regulated / Unregulated"]
["___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___"]
["Non-eligible Introducers ","B04","1",null,null,null,null,null,"Delete Row"]
["___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___"]
[null,null,"sequence","value","value","value","value"]
[null,null,2,null,null,null,null,"Delete Row"]
["Add Row"]
[]
["","",""]
["","",null,"Details","Clients/Customers per each distribution channel","Face to Face / Non-Face to Face","Country","Regulated / Unregulated"]
["___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___"]
["Other (if applicable)","B05","1",null,null,null,null,null,"Delete Row"]
["___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___"]
[null,null,"sequence","value","value","value","value","value"]
[null,null,2,null,null,null,null,null,"Delete Row"]
["Add Row"]
[]
["Online Platforms:","","",""]
["Does the entity accept its clients/customers via online platforms?","B06"]
[]
["","",""]
["","",null,"Country of Clients / Customers","Percentage of Clients / Customers"]
["___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___"]
["What is the domicile (location) and percentage of clients/customers accepted through online platforms?","B07","1",null,null,"Delete Row",null,null,"Delete Row"]
["___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___"]
[null,null,"sequence","value","value"]
[null,null,2,null,null,"Delete Row"]
["Add Row"]

{"sheet":"C - Products and Services Risk","index":2,"n_rows":103,"n_cols":9,"rows_kept":103,"cut":false,"hidden":false,"merged":[[0,0,0,7],[4,0,4,3],[17,0,17,3],[27,0,27,3]]}
["AIR-157-75 : AML Inherent Risk - Securities"]
[]
["C - Products and Services Risk"]
[]
["Major Activities and Products"]
["Has the entity ever received client funds?","C01"]
["Does the entity's line of business allow the acceptance of client funds?","C02"]
[]
["","",""]
["","",null,"Number of 3rd Parties","Type","Country of 3rd Party","Is the 3rd Party regulated?","Is the 3rd Party exempt from regulation?"]
["___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___"]
["What functions does the entity outsource to a 3rd Party and where is the 3rd Party located?","C03","1",null,null,null,null,null,"Delete Row"]
["___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___"]
[null,null,"sequence","value","value","value","value","value"]
[null,null,2,null,null,null,null,null,"Delete Row"]
["Add Row"]
[]
["Which securities are traded for your clients, in aggregate:"]
["Shares","C04"]
["Instruments creating or acknowledging indebtedness","C05"]
["Instruments giving entitlements to securities","C06"]
["Certificates representing certain securities","C07"]
["Options","C08"]
["Futures","C09"]
["Contracts for differences","C10"]
["Does the entity partake in adhoc/unregulated business?","C11"]
["If so, specify.","C11o"]
["Types of Business"]
["Does the entity act as a custodian?","C12"]
["Does the entity act as a depositary?","C13"]
["Is the entity a Broker Dealer?","C14"]
["Is the entity a Market Maker?","C15"]
["Is the entity a Securities Advisor?","C16"]
["Is the entity a Securities Arranger?","C17"]
["Is the entity a Securities Manager?","C18"]
["If yes, does the entity have physical presence?","C18a"]
["How is physical presence met? "]
["Via Registered Office?","C18ai"]
["Via place of business and infrastructure in the Islands?","C18aii"]
["Is the entity a single family office?","C19"]
["What is the entity's ownership structure?","C20"]
[]
["Does the entity conduct securities investment business with a licensed, registered or administered Cayman Islands based fund?","C21"]
["Does the entity conduct securities investment business with any unregulated Cayman Islands based fund?","C22"]
["Does the entity conduct securities investment business with a licensed, registered or administered fund in any other region?","C23"]
[]
["","","","Country / Jurisdiction"]
["___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___"]
["If so, what jurisdictions?","C23a","1",null,null,null,null,null,"Delete Row"]
["___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___"]
[null,null,"sequence","value"]
[null,null,2,null,"Delete Row"]
["Add Row"]
[]
["","","","Country"]
["___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___"]
["If you trade in listed securities, in which countries are the markets/exchanges located?","C24","1",null,null,null,null,null,"Delete Row"]
["___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___"]
[null,null,"sequence","value"]
[null,null,2,null,"Delete Row"]
["Add Row"]
[]
["","","","Country"]
["___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___"]
["If you trade in unlisted securities, in which countries are the securities issuers domiciled?","C25","1",null,null,null,null,null,"Delete Row"]
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[null,null,"sequence","value"]
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[]
["Forms of Payment","","","",""]
["","","Ranking based on value of transactions","Ranking based on volume of transactions"]
["Confirm which payment methods the entity accepts and rank them in order from 1-7:","","(a)","(b)"]
["Physical Cash","C26"]
["Travellers cheques","C27"]
["Bearer shares","C28"]
["Prepaid cards","C29"]
["Virtual currencies (crypto or other)","C30"]
["Third parties","C31"]
[]
["","","","Details"]
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["Other methods","C32","1",null,null,null,null,null,"Delete Row"]
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[null,null,"sequence","value"]
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["Add Row"]
[]
["","","","Country"]
["___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___"]
["Select the countries where client funds are received from?","C33","1",null,null,null,null,null,"Delete Row"]
["___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___"]
[null,null,"sequence","value"]
[null,null,2,null,"Delete Row"]
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[]
["","","","Country"]
["___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___","___Multiple_Row_Start___"]
["Select the countries where client funds are submitted to?","C34","1",null,null,null,null,null,"Delete Row"]
["___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___","___Multiple_Row___"]
[null,null,"sequence","value"]
[null,null,2,null,"Delete Row"]
["Add Row"]

{"sheet":"D - Attestation","index":3,"n_rows":4,"n_cols":4,"rows_kept":4,"cut":false,"hidden":false,"merged":[[0,0,0,3]]}
["AIR-157-75 : AML Inherent Risk - Securities"]
[]
["D - Attestation","","",""]
["I attest that the all of the information disclosed within this document accurately reflect the information known by all the directors of the entity.","D01"]

{"sheet":"lists","index":4,"n_rows":249,"n_cols":8,"rows_kept":249,"cut":false,"hidden":false,"merged":[]}
["Afghanistan","0","Under 10 percent","Face to face","Regulated","Compliance","Stand alone","1"]
["Åland Islands","1 to 999,999","Under 50 percent","Non-Face to Face","Unregulated","Accounting","Multi-layered","2"]
["Albania","1,000,000 to 4,999,999","Under 100",null,null,"Trading Platform",null,"3"]
["Algeria","5,000,000 to 24,999,999","or 100",null,null,"Liquidity Platform",null,"4"]
["American Samoa","25,000,000 to 49,999,999",null,null,null,"Other",null,"5"]
["Andorra","50,000,000 to 99,999,999",null,null,null,null,null,"6"]
["Angola","100M +",null,null,null,null,null,"7"]
["Anguilla",null,null,null,null,null,null,"N/A"]
["Antarctica"]
["Antigua and Barbuda"]
["Argentina"]
["Armenia"]
["Aruba"]
["Australia"]
["Austria"]
["Azerbaijan"]
["Bahamas"]
["Bahrain"]
["Bangladesh"]
["Barbados"]
["Belarus"]
["Belgium"]
["Belize"]
["Benin"]
["Bermuda"]
["Bhutan"]
["Bolivia (Plurinational State of)"]
["Bonaire, Sint Eustatius and Saba"]
["Bosnia and Herzegovina"]
["Botswana"]
["Bouvet Island"]
["Brazil"]
["British Indian Ocean Territory"]
["Brunei Darussalam"]
["Bulgaria"]
["Burkina Faso"]
["Burundi"]
["Cabo Verde"]
["Cambodia"]
["Cameroon"]
["Canada"]
["Cayman Islands"]
["Central African Republic"]
["Chad"]
["Chile"]
["China"]
["Christmas Island"]
["Cocos (Keeling) Islands"]
["Colombia"]
["Comoros"]
["Congo"]
["Congo (the Democratic Republic of the)"]
["Cook Islands"]
["Costa Rica"]
["Côte d'Ivoire"]
["Croatia"]
["Cuba"]
["Curaçao"]
["Cyprus"]
["Czechia"]
["Denmark"]
["Djibouti"]
["Dominica"]
["Dominican Republic"]
["Ecuador"]
["Egypt"]
["El Salvador"]
["Equatorial Guinea"]
["Eritrea"]
["Estonia"]
["Ethiopia"]
["Falkland Islands"]
["Faroe Islands"]
["Fiji"]
["Finland"]
["France"]
["French Guiana"]
["French Polynesia"]
["French Southern Territories"]
["Gabon"]
["Gambia"]
["Georgia"]
["Germany"]
["Ghana"]
["Gibraltar"]
["Greece"]
["Greenland"]
["Grenada"]
["Guadeloupe"]
["Guam"]
["Guatemala"]
["Guernsey"]
["Guinea"]
["Guinea-Bissau"]
["Guyana"]
["Haiti"]
["Heard Island and McDonald Islands"]
["Holy See"]
["Honduras"]
["Hong Kong"]
["Hungary"]
["Iceland"]
["India"]
["Indonesia"]
["Iran (Islamic Republic of)"]
["Iraq"]
["Ireland"]
["Isle of Man"]
["Israel"]
["Italy"]
["Jamaica"]
["Japan"]
["Jersey"]
["Jordan"]
["Kazakhstan"]
["Kenya"]
["Kiribati"]
["Korea (the Democratic People's Republic of)"]
["Korea (the Republic of)"]
["Kuwait"]
["Kyrgyzstan"]
["Lao People's Democratic Republic"]
["Latvia"]
["Lebanon"]
["Lesotho"]
["Liberia"]
["Libya"]
["Liechtenstein"]
["Lithuania"]
["Luxembourg"]
["Macao"]
["Madagascar"]
["Malawi"]
["Malaysia"]
["Maldives"]
["Mali"]
["Malta"]
["Marshall Islands"]
["Martinique"]
["Mauritania"]
["Mauritius"]
["Mayotte"]
["Mexico"]
["Micronesia (Federated States of)"]
["Moldova (the Republic of)"]
["Monaco"]
["Mongolia"]
["Montenegro"]
["Montserrat"]
["Morocco"]
["Mozambique"]
["Myanmar"]
["Namibia"]
["Nauru"]
["Nepal"]
["Netherlands"]
["New Caledonia"]
["New Zealand"]
["Nicaragua"]
["Niger"]
["Nigeria"]
["Niue"]
["Norfolk Island"]
["North Macedonia"]
["Northern Mariana Islands"]
["Norway"]
["Oman"]
["Pakistan"]
["Palau"]
["Palestine, State of"]
["Panama"]
["Papua New Guinea"]
["Paraguay"]
["Peru"]
["Philippines"]
["Pitcairn"]
["Poland"]
["Portugal"]
["Puerto Rico"]
["Qatar"]
["Réunion"]
["Romania"]
["Russian Federation"]
["Rwanda"]
["Saint Barthélemy"]
["Saint Helena, Ascension and Tristan da Cunha"]
["Saint Kitts and Nevis"]
["Saint Lucia"]
["Saint Martin (French part)"]
["Saint Pierre and Miquelon"]
["Saint Vincent and the Grenadines"]
["Samoa"]
["San Marino"]
["Sao Tome and Principe"]
["Saudi Arabia"]
["Senegal"]
["Serbia"]
["Seychelles"]
["Sierra Leone"]
["Singapore"]
["Sint Maarten (Dutch part)"]
["Slovakia"]
["Slovenia"]
["Solomon Islands"]
["Somalia"]
["South Africa"]
["South Georgia and the South Sandwich Islands"]
["South Sudan"]
["Spain"]
["Sri Lanka"]
["Sudan"]
["Suriname"]
["Svalbard and Jan Mayen"]
["Swaziland"]
["Sweden"]
["Switzerland"]
["Syrian Arab Republic"]
["Taiwan (Province of China)"]
["Tajikistan"]
["Tanzania, United Republic of"]
["Thailand"]
["Timor-Leste"]
["Togo"]
["Tokelau"]
["Tonga"]
["Trinidad and Tobago"]
["Tunisia"]
["Turkey"]
["Turkmenistan"]
["Turks and Caicos Islands"]
["Tuvalu"]
["Uganda"]
["Ukraine"]
["United Arab Emirates"]
["United Kingdom of Great Britain and Northern Ireland"]
["United States Minor Outlying Islands"]
["United States of America"]
["Uruguay"]
["Uzbekistan"]
["Vanuatu"]
["Venezuela (Bolivarian Republic of)"]
["Viet Nam"]
["Virgin Islands (British)"]
["Virgin Islands (U.S.)"]
["Wallis and Futuna"]
["Western Sahara"]
["Yemen"]
["Zambia"]
["Zimbabwe"]