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Document certification requirements and KYC

Information on
document
certification and
KYC requirements

Please be advised, information below relates specifically to ANZ Approved Intermediary Customers.
ANZ does not rely on Advisers to undertake KYC activities on behalf of ANZ. It is the responsibility of the Adviser to provide all relevant KYC documentation to ANZ to ensure all relevant checks are completed correctly.

Our KYC team can rely on a certified copy of an identification document for verification purposes. A certified copy is a copy of an original identification document, certified by an approved certifier as a true copy of the original document.  Certification is to have been completed within 12 Months of the document being presented for verification purposes.

Where a certified copy does not include a date of certification but is accompanied by a completed ‘ANZ Identification by Certified Copy’ form, the date on which the form was completed is to be accepted as the date of certification.

When completing document certification and KYC, you’re able to reference our checklist of what documents are required to open TD/CMAs to ensure all the information you have is correct and relevant prior to submission.

Advisers to provide provide certified copies of relevant ID documents as per ANZ KYC requirements provided within the OLA

Individual ID certification

If the ID documents are current, certification must be no more than 12 months prior to date received by ANZ.

SMSF ID certification

Where the SMSF can be verified by “SuperFundLookup”, SMSF document certification is not required; however, the individual 12-month rule for trustees/beneficial owners applies.

Family Trust ID certification

Certification must be no more than 12 months prior to date received by ANZ. Individual 12-month rule for trustees/beneficial owners still applies.

Minimum
collection and
verification
requirements

Individual

MCV requirements

Collect

Verify

Verification source

Full Name;
Residential Address;
Date of Birth;
Occupation;
and Citizenship

 

Full name; and Residential Address

OR

Date of birth.

Sight and retain copy of original or certified copy of one primary photographic document
OR

Two Secondary identification documents, one of which must be government issued;

OR
Electronic Verification

MCV requirements

Collect

Verify

Verification source

Full Name;
Residential Address;
Date of Birth;
Full business name;
Full address of the principal place of business;
ABN; 
Occupation/ Nature of business / Industry;
and Citizenship

 

Full name; and Date of Birth;

OR

Residential Address; Verify the customer is appropriately registered to:

  • Conduct their business; and
  • Full business name (If any) is registered, not cancelled, and permitted for use by the sole trader.

Sight and retain copy of original or certified copy of one primary photographic document
OR

Two Secondary identification documents, one of which must be government issued;

OR
Electronic Verification

AND
Australian Business Register (ABR) ABN Lookup

AND
ASIC Business Names Register (if any)

MCV requirements

Collect

Verify

Verification source

Full name of SMSF;

Australian Business Number (ABN);

Or Australian Company Number (ACN);

Full business name (if any)l Full name of trustees;

Full name and settlor of the trust; Nature of business

Full name of SMSF;

Full name of trustees;

Status of the SMSF must be “complying” or “registered”

A search of the Superfund Lookup http://superfundlookup.gov.au/

AND

Collect a copy of the SMSF trust deed 

MCV requirements

Collect

Verify

Verification source

Domestic Companies

Full name of company as registered with ASIC;

Full business name (if any);

Registered office address (PO Bos is not sufficient);

Address of principal place of business (if any);

Australian company number (ACN);

Is the company proprietary or public;

Full name of all Directors (not required for public companies); Nature of business/ Industry code;

Nature and purpose of relationship with ANZ (where required)

Non-Domestic Listed public company

Full legal name of company;

Registered office address in Australia;

Address of principle place of business in Australia (if any) or full name and address of company’s Australian agent; Australian Registered Body Number (ARBN);

Country of formation, incorporation or registration;

If registration by a foreign registration body;

  • Unique identification number issued by the registration body;
  • Full address as registered with registration body;

Nature of business/industry;

All companies

Where a company is licensed and regulated by an Australian government regulator;

  • Full name of the company
  • Full business name (If any) is registered, not cancelled, and permitted for use by the sole trader.
  • Australian Company Number (ACN);
  • Unique identifying number issued by relevant regulatory body; and that customers regulatory status is active/current

OR

Where the customer or parent entity is a public company listed on an exchange included on ANZ’s list of approved exchanges or a majority owned (>50%) and consolidated subsidiary or an Australian listed public company:

  • Full name of the company
  • Full Business name (If any) is registered, not cancelled and permitted for use by the company;
  • That the customer listed on the relevant exchange, or

All companies

A search of the relevant ANZ

Approved stock exchange;

OR

A Search of the relevant regulator register.

Important information

Any advice does not take into account your personal needs and financial circumstances and you should consider whether it is appropriate for you. ANZ recommends you read the ANZ Savings and Transaction Product Terms and Conditions (PDF) and the Financial Services Guide (PDF) before deciding whether to acquire, or continue to hold, the product. Fees, charges and eligibility criteria apply.

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