Survey on Targeted Financial Sanctions

2021 ENFORCEMENT AND INVESTOR PROTECTION DEPARTMENT TO : Securities Brokers and Dealers, Investment Houses, Underwriters of Securities, Government Securities Eligible Dealers, Investment Companies/Mutual Fund, Investment Company Advisers, Mutual Fund Distributors, REIT Fund Managers, Financing Companies and Lending Companies SUBJECT : Survey on Targeted Financial Sanctions NOTICE The Targeted Financial Sanctions (TFS) related to Proliferation of Weapons of Mass Destruction and Proliferation Financing issued by the Anti-Money Laundering Council requires all covered persons (CPs) to implement TFS relating to proliferation of WMD and its financing against all funds and assets that are owned or controlled, directly or indirectly, including those derived or generated therefrom by individuals or entities designated and listed under United Nations Security Council (UNSC) Resolution Nos. 1718 (2006) 4 (concerning the Democratic People's Republic of Korea) and 2231 (2015) 5 (concerning the Islamic Republic of Iran) and their successor resolutions under the UNSC Consolidated List. In order to assess the needs of SEC covered persons related to their compliance with TFS obligations, all SEC covered persons are enjoined to accomplish a TFS Survey Questionnaire. This survey will provide the SEC with sufficient information on the relevant training needs of the entities and appropriate measures to be adopted. All covered persons are directed to accomplish the survey questionnaire and to submit the same on or before 30 September 2021, 4:00 PM. Said Questionnaire may be accessed through the following link: SEC Targeted Financial Sanctions Survey Questionnaire For compliance.