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Regulation assets

Updated on June 29, 2021

The following information summarizes the all regulatory compliance assets available.

AML regulations

Regulatory complianceDescription
Global - AML - Individual CDDGlobal guided AML due diligence questionnaire for performing customer due diligence on individuals
Global - AML - Individual EDDGlobal guided AML due diligence questionnaire for performing enhanced due diligence on individuals
Global - AML - Intermediary FIGlobal guided AML due diligence questionnaire for financial institutions acting as intermediaries
Global - AML - FFIGlobal guided AML due diligence questionnaire for foreign financial institutions
Global - AML - Entity CDDGlobal guided AML due diligence questionnaire for performing customer due diligence on entities
Global - AML - Entity EDDGlobal guided AML due diligence questionnaire for performing enhanced due diligence on entities
Global - AML - Correspondent BankGlobal guided AML due diligence questionnaire for foreign correspondent banks
EU - AML - Individual CDD5th EU Money Laundering Directive based, guided AML due diligence questionnaire for performing enhanced due diligence on individuals
EU - AML - Individual EDD5th EU Money Laundering Directive based, guided AML due diligence questionnaire for performing enhanced due diligence on individuals
EU - AML - Entity CDD5th EU Money Laundering Directive based, guided AML due diligence questionnaire for performing enhanced due diligence on entities
EU - AML - Entity EDD5th EU Money Laundering Directive based, guided AML due diligence questionnaire for performing enhanced due diligence on entities
EU - AML - Individual EDD4th EU Money Laundering Directive based, guided AML due diligence questionnaire for performing enhanced due diligence on individuals
5th EU - AML - Individual EDD5th EU Money Laundering Directive based, guided AML due diligence questionnaire for performing enhanced due diligence on individuals
AE - AML - Individual CDDUnited Arab Emirates-based guided AML due diligence questionnaire for performing customer due diligence on individuals
AE - AML - Entity CDDUnited Arab Emirates-based guided AML due diligence questionnaire for performing customer due diligence on entities
AR - AML - Individual CDDArgentina-based guided AML due diligence questionnaire for performing customer due diligence on individuals
AR - AML - Entity CDDArgentina-based guided AML due diligence questionnaire for performing customer due diligence on entities
AR - AML - Individual EDDArgentina-based guided AML due diligence questionnaire for performing enhanced due diligence on individuals
AR - AML - Entity EDDArgentina-based guided AML due diligence questionnaire for performing enhanced due diligence on entities
AU - AML - Individual CDDAustralia-based, guided AML due diligence questionnaire for performing customer due diligence on individuals
AU - AML - Entity CDDAustralia-based, guided AML due diligence questionnaire for performing customer due diligence on entities
AU - AML - Individual EDDAustralia-based, guided AML due diligence questionnaire for performing enhanced due diligence on individuals
BE - AML - Individual CDDBelgium-based, guided AML due diligence questionnaire for performing customer due diligence on individuals
BE - AML - Entity CDDBelgium-based, guided AML due diligence questionnaire for performing customer due diligence on entities
BR - AML - Individual CDDBrazil-based guided AML due diligence questionnaire for performing customer due diligence on individuals
BR - AML - Entity CDDBrazil-based guided AML due diligence questionnaire for performing customer due diligence on entities
CA - AML - Individual CDDCanada-based guided AML due diligence questionnaire for performing customer due diligence on individuals
CA - AML - Entity CDDCanada-based guided AML due diligence questionnaire for performing customer due diligence on entities
CA - AML - Individual EDDCanada-based guided AML due diligence questionnaire for performing enhanced due diligence on individuals
CA - AML - Entity EDDCanada-based guided AML due diligence questionnaire for performing enhanced due diligence on entities
CL - AML - Individual CDDChile-based guided AML due diligence questionnaire for performing customer due diligence on individuals
CL - AML - Entity CDDChile-based guided AML due diligence questionnaire for performing customer due diligence on entities
CN - AML - Individual CDDChina-based, guided AML due diligence questionnaire for performing customer due diligence on individuals
CN - AML - Entity CDDChina-based, guided AML due diligence questionnaire for performing customer due diligence on entities
CN - AML - Individual EDDChina-based, guided AML due diligence questionnaire for performing enhanced due diligence on individuals
CN - AML - Entity EDDChina-based, guided AML due diligence questionnaire for performing enhanced due diligence on entities
CO - AML - Individual CDDColombia-based guided AML due diligence questionnaire for performing customer due diligence on individuals
CO - AML - Entity CDDColombia-based guided AML due diligence questionnaire for performing customer due diligence on entities
DB - AML - Individual CDDDubai-based guided AML due diligence questionnaire for performing customer due diligence on individuals
DB - AML - Entity CDDDubai-based guided AML due diligence questionnaire for performing customer due diligence on entities
DB - AML - Individual EDDDubai-based guided AML due diligence questionnaire for performing enhanced due diligence on individuals
DB - AML - Entity EDDDubai-based guided AML due diligence questionnaire for performing enhanced due diligence on entities
DK - AML - Individual CDDDenmark-based, guided AML due diligence questionnaire for performing customer due diligence on individuals
DK - AML - Entity CDDDenmark-based, guided AML due diligence questionnaire for performing customer due diligence on entities
EE - AML - Individual CDDEstonia-based, guided AML due diligence questionnaire for performing customer due diligence on individuals
EE - AML - Entity CDDEstonia-based, guided AML due diligence questionnaire for performing customer due diligence on entities
FI - AML - Individual CDDFinland-based, guided AML due diligence questionnaire for performing customer due diligence on individuals
FI - AML - Entity CDDFinland-based, guided AML due diligence questionnaire for performing customer due diligence on entities
FR - AML - Individual CDDFrance-based, guided AML due diligence questionnaire for performing customer due diligence on individuals
FR - AML - Entity CDDFrance-based, guided AML due diligence questionnaire for performing customer due diligence on entities
GB - AML - Entity CDDUnited Kingdom-based, guided AML due diligence questionnaire for performing enhanced due diligence on entities
GB - AML - Individual CDDUnited Kingdom-based, guided questionnaire for performing customer due diligence on individuals
GB - AML - Individual EDDUnited Kingdom-based, guided questionnaire for performing enhanced due diligence on individuals
GB - AML - Entity EDDUnited Kingdom-based, guided questionnaire for performing enhanced due diligence on entities
GB - AML - Life AssuranceUnited Kingdom-based, guided AML questionnaire for Life Assurance, Pensions, and Investment related entities
GR - AML - Individual CDDGreece-based, guided AML due diligence questionnaire for performing customer due diligence on individuals
GR - AML - Entity CDDGreece-based, guided AML due diligence questionnaire for performing customer due diligence on entities
HR - AML - Individual CDDCroatia-based, guided AML due diligence questionnaire for performing customer due diligence on individuals
HR - AML - Entity CDDCroatia-based, guided AML due diligence questionnaire for performing customer due diligence on entities
ID - AML - Individual CDDIndonesia-based, guided AML due diligence questionnaire for performing customer due diligence on individuals
ID - AML - Entity CDDIndonesia-based, guided AML due diligence questionnaire for performing customer due diligence on entities
IE - AML - Individual CDDIreland-based, guided AML due diligence questionnaire for performing customer due diligence on individuals
IE - AML - Entity CDDIreland-based, guided AML due diligence questionnaire for performing customer due diligence on entities
IL - AML - Individual CDDIsrael-based guided AML due diligence questionnaire for performing customer due diligence on individuals
IL - AML - Entity CDDIsrael-based guided AML due diligence questionnaire for performing customer due diligence on entities
IM - AML - Individual CDDIsle of Man-based guided AML due diligence questionnaire for performing customer due diligence on individuals
IM - AML - Entity CDDIsle of Man-based guided AML due diligence questionnaire for performing customer due diligence on entities
IN - AML - Individual CDDIndia-based, guided AML due diligence questionnaire for performing customer due diligence on individuals
IN - AML - Entity CDDIndia-based, guided AML due diligence questionnaire for performing customer due diligence on entities
IN - AML - Individual EDDIndia-based, guided AML due diligence questionnaire for performing enhanced due diligence on individuals
IN - AML - Entity EDDIndia-based, guided AML due diligence questionnaire for performing enhanced due diligence on entities
IT - AML - Individual CDDItaly-based, guided AML due diligence questionnaire for performing customer due diligence on individuals
IT - AML - Entity CDDItaly-based, guided AML due diligence questionnaire for performing customer due diligence on entities
JP - AML - Individual CDDJapan-based guided AML due diligence questionnaire for performing customer due diligence on individuals
JP - AML - Entity CDDJapan-based guided AML due diligence questionnaire for performing customer due diligence on entities
JP - AML - Individual EDDJapan-based guided AML due diligence questionnaire for performing enhanced due diligence on individuals
JP - AML - Entity EDDJapan-based guided AML due diligence questionnaire for performing enhanced due diligence on entities
KR - AML - Individual CDDSouth Korea-based, guided AML due diligence questionnaire for performing customer due diligence on individuals
KR - AML - Entity CDDSouth Korea-based, guided AML due diligence questionnaire for performing customer due diligence on entities
KR - AML - Individual EDDSouth Korea-based, guided AML due diligence questionnaire for performing enhanced due diligence on individuals
KR - AML - Entity EDDSouth Korea-based, guided AML due diligence questionnaire for performing enhanced due diligence on entities
KY - AML - Individual CDDCayman Islands-based guided AML due diligence questionnaire for performing customer due diligence on individuals
KY - AML - Entity CDDCayman Islands-based guided AML due diligence questionnaire for performing customer due diligence on entities
LT - AML - Individual CDDLithuania-based, guided AML due diligence questionnaire for performing customer due diligence on individuals
LT - AML - Entity CDDLithuania-based, guided AML due diligence questionnaire for performing customer due diligence on entities
LU - AML - Entity CDDLuxembourg-based, guided AML due diligence questionnaire for performing customer due diligence on entities
LU - AML - Individual CDDLuxembourg-based, guided AML due diligence questionnaire for performing enhanced due diligence on individuals
LV - AML - Individual CDDLatvia-based, guided AML due diligence questionnaire for performing customer due diligence on individuals
LV - AML - Entity CDDLatvia-based, guided AML due diligence questionnaire for performing customer due diligence on entities
MT - AML - Individual CDDMalta-based, guided AML due diligence questionnaire for performing customer due diligence on individuals
MT - AML - Entity CDDMalta-based, guided AML due diligence questionnaire for performing customer due diligence on entities
MX - AML - Individual CDDMexico-based guided AML due diligence questionnaire for performing customer due diligence on individuals
MX - AML - Entity CDDMexico-based guided AML due diligence questionnaire for performing customer due diligence on entities
MY - AML - Individual CDDMalaysia-based guided AML due diligence questionnaire for performing customer due diligence on individuals
MY - AML - Entity CDDMalaysia-based guided AML due diligence questionnaire for performing customer due diligence on entities
MY - AML - Individual EDDMalaysia-based guided AML due diligence questionnaire for performing enhanced due diligence on individuals
MY - AML - Entity EDDMalaysia-based guided AML due diligence questionnaire for performing enhanced due diligence on entities
NL - AML - Individual CDDNetherlands-based, guided AML due diligence questionnaire for performing customer due diligence on individuals
NL - AML - Entity CDDNetherlands-based, guided AML due diligence questionnaire for performing customer due diligence on entities
NZ - AML - Individual CDDNew Zealand-based guided AML due diligence questionnaire for performing customer due diligence on individuals
NZ - AML - Entity CDDNew Zealand-based guided AML due diligence questionnaire for performing customer due diligence on entities
NZ - AML - Entity EDDNew Zealand-based guided AML due diligence questionnaire for performing enhanced due diligence on entities
PE - AML - Individual CDDPeru-based guided AML due diligence questionnaire for performing customer due diligence on individuals
PE - AML - Entity CDDPeru-based guided AML due diligence questionnaire for performing customer due diligence on entities
PE - AML - Individual EDDPeru-based guided AML due diligence questionnaire for performing enhanced due diligence on individuals
PE - AML - Entity EDDPeru-based guided AML due diligence questionnaire for performing enhanced due diligence on entities
PH - AML - Individual CDDPhilippines-based guided AML due diligence questionnaire for performing customer due diligence on individuals
PH - AML - Entity CDDPhilippines-based guided AML due diligence questionnaire for performing customer due diligence on entities
PH - AML - Individual EDDPhilippines-based guided AML due diligence questionnaire for performing enhanced due diligence on individuals
PH - AML - Entity EDDPhilippines-based guided AML due diligence questionnaire for performing enhanced due diligence on entities
QA - AML - Individual CDDQatar-based guided AML due diligence questionnaire for performing customer due diligence on individuals
QA - AML - Entity CDDQatar-based guided AML due diligence questionnaire for performing customer due diligence on entities
QA - AML - Individual EDDQatar-based guided AML due diligence questionnaire for performing enhanced due diligence on individuals
QA - AML - Entity EDDQatar-based guided AML due diligence questionnaire for performing enhanced due diligence on entities
RU - AML - Individual CDDRussia-based guided AML due diligence questionnaire for performing customer due diligence on individuals
RU - AML - Entity CDDRussia-based guided AML due diligence questionnaire for performing customer due diligence on entities
RU - AML - Individual EDDRussia-based guided AML due diligence questionnaire for performing enhanced due diligence on individuals
RU - AML - Entity EDDRussia-based guided AML due diligence questionnaire for performing enhanced due diligence on entities
SA - AML - Individual CDDSaudi Arabia-based guided AML due diligence questionnaire for performing customer due diligence on individuals
SA - AML - Entity CDDSaudi Arabia-based guided AML due diligence questionnaire for performing customer due diligence on entities
SA - AML - Individual EDDSaudi Arabia-based guided AML due diligence questionnaire for performing enhanced due diligence on individuals
SA - AML - Entity EDDSaudi Arabia-based guided AML due diligence questionnaire for performing enhanced due diligence on entities
SE - AML - Individual CDDSweden-based, guided AML due diligence questionnaire for performing customer due diligence on individuals
SE - AML - Entity CDDSweden-based, guided AML due diligence questionnaire for performing customer due diligence on entities
SG - AML - Individual EDDSingapore-based, guided AML due diligence questionnaire for performing enhanced due diligence on individuals
SG - AML - Entity EDDSingapore-based, guided AML due diligence questionnaire for performing enhanced due diligence on entities
SI - AML - Individual CDDSlovenia-based, guided AML due diligence questionnaire for performing customer due diligence on individuals
SI - AML - Entity CDDSlovenia-based, guided AML due diligence questionnaire for performing customer due diligence on entities
SP - AML - Individual CDDSpain-based, guided AML due diligence questionnaire for performing customer due diligence on individuals
SP - AML - Entity CDDSpain-based, guided AML due diligence questionnaire for performing customer due diligence on entities
TH - AML - Individual CDDThailand-based guided AML due diligence questionnaire for performing customer due diligence on individuals
TH - AML - Entity CDDThailand-based guided AML due diligence questionnaire for performing customer due diligence on entities
TH - AML - Individual EDDThailand-based guided AML due diligence questionnaire for performing enhanced due diligence on individuals
TH - AML - Entity EDDThailand-based guided AML due diligence questionnaire for performing enhanced due diligence on entities
TR - AML - Individual CDDTurkey-based guided AML due diligence questionnaire for performing customer due diligence on individuals
TR - AML - Entity CDDTurkey-based guided AML due diligence questionnaire for performing customer due diligence on entities
TR - AML - Individual EDDTurkey-based guided AML due diligence questionnaire for performing enhanced due diligence on individuals
TR - AML - Entity EDDTurkey-based guided AML due diligence questionnaire for performing enhanced due diligence on entities
TW - AML - Individual CDDTaiwan-based guided AML due diligence questionnaire for performing customer due diligence on individuals
TW - AML - Entity CDDTaiwan-based guided AML due diligence questionnaire for performing customer due diligence on entities
TW - AML - Individual EDDTaiwan-based guided AML due diligence questionnaire for performing enhanced due diligence on individuals
TW - AML - Entity EDDTaiwan-based guided AML due diligence questionnaire for performing enhanced due diligence on entities
US - AML - Mutual FundUS-based, guided AML due diligence questionnaire for mutual fund products
US - AML - Intermediary FIUS-based, guided AML due diligence questionnaire for financial institutions acting as intermediaries
US - AML - Life InsuranceUS-based, guided AML due diligence questionnaire for life insurance-related entities
US - AML - Foreign Correspondent BankUS-based, guided AML due diligence questionnaire for foreign correspondent banks
US - AML - Individual EDDUS-based,guided AML questionnaire for performing enhanced due diligence on individuals
US - AML - Individual CDDUS-based, guided AML questionnaire for performing customer due diligence on individuals
US - AML - Entity CDDUS-based, guided AML questionnaire for performing customer due diligence on entities
US - AML - Entity EDDUS-based, guided AML questionnaire for performing enhanced due diligence on entities
ZA - AML - Individual CDDSouth Africa-based guided AML due diligence questionnaire for performing customer due diligence on individuals
ZA - AML - Entity CDDSouth Africa-based guided AML due diligence questionnaire for performing customer due diligence on entities
ZA - AML - Individual EDDSouth Africa-based guided AML due diligence questionnaire for performing enhanced due diligence on individuals
ZA - AML - Entity EDDSouth Africa-based guided AML due diligence questionnaire for performing enhanced due diligence on entities

Product regulations

Regulatory complianceDescription
CA - IIROCCanada-based questionnaire to address investment due diligence for Investment Industry Regulatory Organization of Canada (IIROC)
US - Dodd-Frank - DerivativesUS-based, guided due diligence questionnaire for financial swaps and derivatives as prescribed by the Dodd-Frank Act
EEA - MiFID II IndividualEEA-based, guided questionnaire to address investment due diligence as prescribed by Markets in Financial Instruments Directive (MiFID), MiFID II, and MiFIR for individuals
EEA - MiFID II EntityEEA-based, guided questionnaire to address investment due diligence as prescribed by the Markets in Financial Instruments Directive (MiFID), MiFID II, and MiFIR for entities
EMIREEA-based guided questionnaire to address investment due diligence as prescribed by the European Market Infrastructure Regulation (EMIR)
US - FINRA 2111 & 2090US-based, guided questionnaire for investment suitability as prescribed by FINRA (Financial Industry Regulation Authority) Rule 2111 & 2090

Tax regulations

Regulatory complianceDescription
CRS - New Individual AccountsGuided questionnaire to determine the CRS classification and reportability status of a customer being an individual and support the relevant documents
CRS - Entity New AccountsGuided questionnaire to determine the CRS classification and reportability status of a customer being an entity and support the relevant documents
CRS - High Value AccountsGuided questionnaire to determine Common Reporting Customer (CRS) reporting status for pre-existing, high value accounts; includes legal guidance
CRS - Low Value AccountsGuided questionnaire to define CRS reporting status for preexisting, low value accounts. Includes legal guidance
FATCA - Low Value AccountsGuided questionnaire to assist with defining account holder reporting status and certification type for pre-existing, individual, low value accounts; includes legal guidance
FATCA - High Value AccountsGuided questionnaire to assist with defining account holder reporting status and certification type for pre-existing, individual, high value accounts; includes legal guidance
FATCA - Intl and Govt. OrganizationsGuided questionnaire to assist with defining account holder reporting status and certification type for new accounts for international and government organizations; includes legal guidance
FATCA - Tax Exempt EntitiesGuided questionnaire to assist with defining account holder reporting status and certification type for new accounts for tax exempt organizations; includes legal guidance
FATCA - Insurance CompaniesGuided questionnaire to assist with defining account holder reporting status and certification type for new accounts for insurance companies; includes legal guidance
FATCA - New Entity AccountsGuided questionnaire to determine the FATCA status of a customer being an entity and support the relevant documents
FATCA - New Individual AccountsGuided questionnaire to determine the FATCA status of a customer being an individual and support the relevant documents
  • Previous topic Pega Know Your Customer Regulatory Compliance for Financial Services 21.2 Release Notes
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