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Compliance Report for LTO Purposes

(Internal use only)

6 characters left
Verification of ID
Verification of identity (VOI) completed? 
Method of VOI
Copies of VOI documents saved to LEAP?
List the Documents and evidence relied upon for the purposes of undertaking VOI
VOI for companies
VOI for individuals acting as attorney (under POA)
VOI for trustee(s) of a trust
Verification of Right to Deal
Verification of right to deal completed? 
Evidence reviewed (tick all that apply)
Evidence reviewed (tick all that apply) - sale
Evidence reviewed (tick all that apply) - purchase
Evidence that the Person undertaking Verification of Right to Deal on behalf of the Subscriber is authorised to do so 
Client Authorisation
Copy of appropriate current version Client Authorisation Form used, completed prior to the signing of any Registry Instruments and / or other Documents 
If there is an expiry date, have you diarised the date and made a note on the LEAP card?
Evidence that the signatory signing the Client Authorisation Form on behalf of the Representative has been authorised to do so  
List the Documents and evidence relied upon for the purposes of undertaking Client Authorisation
Additional notes (optional)
Capacity