--- type: court_doc id: "court_sdny_208_3" court: "SDNY" case_no: "23-cr-00118" doc_number: 208 doc_type: "ORDER" filed_date: "2023-12-21" lang: "en" machine_translated: false url: "https://mubeitech.com/en/court/court_sdny_208_3" json_url: "https://mubeitech.com/api/court/court_sdny_208_3" --- # Guo Wengui / Miles Guo — criminal case · ORDER · ECF #208-3 **Court Filing —— United States v. Ho Wan Kwok (Guo Wengui / Miles Guo), SDNY 1:23-cr-00118 ECF #208-3 (December 21, 2023). A document relating to the Classified Information Procedures Act (CIPA); the original text is severely corrupted by OCR processing and cannot be reliably interpreted.** The image is severely blurred by horizontal motion, rendering all text illegible. A thick, solid black horizontal bar obscures the middle section of the document. ...　super ...　An ...　... ...　... [Large black bar obscuring content] ...　the se ...　the ar ...　the in ...　M AAL ...　CTF 1 ...　besm ...　ans re ing the data.ncluded the following:and the culture was grown in 10% FBS, 1% P/S, 1% NEAA, 1% L-Glutamine, 1% Sodium Pyruvate, and 1% MEM SCORE.of the cell line was done in a 10 cm dish in a 37°C incubator with 5% CO2. KYC ordering analysis the decision to onboard the Customer with Medium Risk out of the view th g Ad embed the Content within Medium Risk Scores is of the view that the total Am OF THE VIEW THAT THE INITIAL AND - Profile - Balances - Ledger - Transaction Monitoring - Deposits - Deposit Addresses - Withdrawals - Redemption Limits - Withdrawal Addresses - Bank Accounts - Security Question - Support - Active Orders - Completed Orders - Trades - Tier - Mail Queue - Notifications - Activity - Error Log - Exploit Attempts - Referrals - Referral Bonuses - Synced IPs - Whitelisted IPs - Risk Scoring 2021, it is agreed to onboard the L 7RT 1, 2021, it is agreed to onboard the C Oct 1, 2021, it is agreed to onboard the N P Oct 1 2021, it is agreed to onboard Oct 1, 2021, it is agreed to onboard e on Oct 1, 2021, it is agreed to onboar guidance on Oct 1 2021, it is agreed to guidance on Oct 1, 2021, it is agreed to onb ce on Oct 1, 2021, it is agreed to onboard ening Hits - zero English and Chinese name search s Committee's guidance on Oct 1 2021, it is agre =206842 f Screening Hits - zero English and Chinese name se business Committee's guidance on Oct 1 2021, it is ag quested = 206842 - Profile- Balances- Ledger- Deposits- Deposit Addresses- Withdrawals- Redemption Limits- Standard- Addresses- Bank Accounts- Active Orders- Completed Orders- Trades- Tiers- Mail Queue- Notifications- Activity- Error Log- Exploit Attempts- Referrals- Referral Bonuses- Whitelisted IPs- Risk Scoring- API - Profile- Balances- Ledger- Deposits- Deposit Addresses- Withdrawals- Redemption Limits- Withdrawal Addresses- Bank Accounts- Active Orders- Completed Orders- Trades- Tiers- Mail Queue- Notifications- Activity- Error Log- API Key- Plot Attempts- Referrals- Referral Bonuses- Whitelisted IPs- Risk Scoring Overall, KYC Onboarding Analyst is of the view that the initial AML/CTF assessment result is consistent with the Customer's profile and does not pose the de- [REDACTED] cision to onboard the Customer with Medium Risk (4%). - Profile- Balances- Ledger- Transaction Monitoring- Security Question- Support- Manager Deposits- Deposit Addresses- Withdrawals- Redemption Limits- Withdrawal Addresses- Bank Accounts- Active Orders- Completed Orders- Trades- Mail Queue- Notices- Notifications- Activity- Error Log- Exploit Attempts- Referrals- Referral Bonuses- Whitelisted IPs- Risk Scoring - Balances - Ledger - Deposits - Deposit Addresses - Withdrawals - Redemption Limits - Withdrawal Addresses - Bank Accounts - Active Orders - Completed Orders - Trades - Mail Queue - Notifications - Activity - Error Log - Exploit Attempts - Referrals - Referral Bonuses - Whitelisted IPs - Risk Score The content of the image is completely illegible due to extreme horizontal blurring or corruption, appearing as numerous thin, dark horizontal lines on the left side. ... and based on the information provided, the KYC Onboarding Analyst supports the decision to onboard the Customer with the view that the initial Medium Risk (Risk Score 355-361) assessment result is consistent with the Customer's profile and (informity This could be a public office, a government role, a senor millions postion, at tourse or overses- wa Sour to lampeller frum best of the posts and that productions in any consistent in any connot of unerements in any connor of unerement ON How many years of experience do you have in crypto trading? < 1 Year Let us know what your level of experience is with cryptocurrency trading? Please select one: Deginner Please tell us which countries the funds will be received and or transferred from. United States Houg Kong New Zealand How much do you plan to deposit per year (USD and crypto combined)? 10 000 100 000 Please select the service(s) you plan to use. Select more than one box if necessary. Crypto Trading, tong term investment, Crypto payment Please rell us about your source(s) of wealth? Select more than one box if necessary. Property sale, Employment income, Business profits Please rell us about your source(s) of Income : funds. Select more than one pox if necessary. Pension / social benefits, Investments, Savings Blease tall us about your annual turnover, in individual or business activity, which is handled in crystocurrency. 0-1 0% (none or little of my turnover is in cryptocurrency) Blease tell us about your annual turnover, in individual or business activity, which is handled in cash. 60-90% (most of my turnover 15 In cash) Is your individual schip or pushess registered or conducted in prefrential any 2014 (for instance, free economic zone, offshore jurisdical) Hong Kong 13.8 BRESS TEll is about pushess you may conduct in other county(s) pesides where rogistered for tax purposes) ON Please tell us about your occupation or business activity. Importer and wholesale Please tell us about your current employment status. Retired United Kingdom China NOTESTION ( Save & inform USer COMMENT　ROLE　FULL NAME　DATE & TIME Based on the KYC responses, the Customer is Medium Risk considering the following risk factors according Customer Risk Model: Customer: Per Customer's reply in Zendesk, he was a green card holder until he went through official procedures with US embassy in Hong Kong and gave up his green card permanently since 2019. The reason for him to open a Bank of America account (joint account with son) is because he could support his son for college education (i.e. daily expenses), and he may remit some funds to his son for further expenses. Based on KYC questionnaire, customer's score is 20 points. In addition, client is retired and planning to deposit USD10K - 100K annually which accounts for additional 40 points. In total, client's risk score is 60 points which is not shown in KYC questionnaire. Screening is performed against the Customer and there is 0 hit. Overall, Senior KYC onboarding analyst [REDACTED NAME] is of the view that the initial AML/CTF assessment result is consistent with Customer's profile and does not oppose the decision to onboard the Customer. Medium Risk - Risk Score 60.　Senior KYC onboarding analyst　[REDACTED]　4/29/2021 1:19:19 PM - Profile - Balances - Whitelisted IPs - Risk Scoring - Transaction Monitoring - Security Questions - Supporting Documents - Withdrawal Addresses - Bank Accounts - Activity - Open Orders - Completed Orders - Trades - Tiers - Mail Queue - Notifications - Activity - Error Log - Exploit Attempts - Referrals - Referral Bonus - Ledger - Deposits - Deposit Addresses - Withdrawal Addresses - Redemption Limits - Withdrawal Addresses - Bank Accounts - Activity - Open Orders - Completed Orders - Trades - Tiers - Mail Queue - Notifications - Activity - Error Log - Exploit Attempts - Referrals - Referral Bonus - Profile - Balances - Whitelisted IPs - Risk Scoring - Ledger - Deposits - Post Addresses - Withdrawals - Redemption Limits - Transaction Monitoring - Security Questions - Supporting Documents - Withdrawal Addresses - Bank Accounts - Active Orders - Completed Orders - Trades - Tiers - Margin - Withdrawal Queue - Notifications - Activity - Error Log - Exploit Attempts - Referrals - Referral Bonuses - Balances - Ledger - Deposits - Deposit Addresses - Withdrawals - Redemption Limits - Withdrawal Addresses - Bank Accounts - Active Orders - Completed Orders - Trades - Tiers - Withdrawal Queue - Notifications - Activity - Error Log - Login History - Exploit Attempts - Referrals - Referral Earnings - Security Question Setup - Whitelisted IPs- Risk Score- Funding- Transaction Monitoring- Security Questions- Supporting Documents- Redemption Limits- Profile- Balances- Ledger- Deposits- Deposit Addresses- Withdrawals- Withdrawal Addresses- Bank Accounts- Active Orders- Completed Orders- Trades- Tiers- Mail Queue- Notifications- Sessions- Activity- Error Log- Exploit Attempts- Referrals- Referral Bonus DATE & TIME　FULL NAME　ROLE　RISK SCORE　RISK LEVEL 12/28/2021 11:57:00 AM　Auto (System)　Auto (System)　10　Low Left Column　Right Column |:---　:--- |Risk Settings　Login |Mobile　Address Sets |Linked Accounts　Withdrawal Limits |Specialized IPs　Redemption Limits |Deposit　Standard Addresses |Transaction Mode　Linked Accounts |Security Question　Active Orders |Supporting Documents　Completed Orders　Wallets　Tiers　Market　Outline　Notifications　Activity　Error Log　Data　Login Attempts　Records　Referral Bonuses - Profile - Balances - Ledger - Referral Bonuses - Whitelist - Trusted IPs - Risk Scoring - Deposits - Deposit Addresses - Withdrawals - Withdrawal Addresses - Redemption Limits - Security Questions - Transaction Monitoring - Supporting Documents - Bank Accounts - Active Orders - Completed Orders - Trades - Tiers - Mail Queue - Notifications - Activity - Error Log - Explorer - Login Attempts - Referrals - API Keys - Settings Entroppedia Success　... ...　... ...　... ...　... ...　... ...　... ...　... ...　... ...　... ...　... ...　... ...　... ...　... ...　... ...　... ...　... ...　... ...　... ...　... ...　... ...　... ...　... ...　... ...　... ...　... ...　... ...　... ...　... ...　... ...　... ...　... ...　... ...　... ...　... 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Empirical comparison Table S There Maid (Jurised : The Appendix (stars) A group control on dependent assumptions Index　Cars　Media　News　Reviews　Features　Financing　Interviews　Opinions　Photos　Videos　About Us　RSS QUESTION　ANSWER Place of birth　China Citizenship on the document　China Please tell us about your current employment status.　Retired Please tell us about your occupation or business activity.　退休人員 Please tell us about business you may conduct in other countries besides where you are registered for tax purpose?　No Is your individual activity or business registered or conducted in preferential tax zone (free economic zone, offshore jurisdiction)?　No Please tell us about your annual turnover, in individual or business activity, which is handled in cash.　0-10% (none or little of my turnover is in cash) Please tell us about your annual turnover, in individual or business activity, which is handled in cryptocurrency.　0-10% (none or little of my turnover is in cryptocurrency) Please tell us about your source(s) of income. Select more than one box if necessary.　Pension, Social benefits Please tell us about your source(s) of wealth? Select more than one box if necessary.　Inheritance, Employment income Please select the service(s) you plan to use. Select more than one box if necessary.　Crypto trading, Long term investment, Crypto payment How much do you plan to deposit per year (USD and crypto combined)?　10 000-100 000 Please tell us which countries the funds will be received and/or transferred from.　China United Kingdom Taiwan Singapore Let us know what your level of experience is with cryptocurrency trading? Please select one.　Beginner How many years of experience do you have in crypto trading?　< 1 Year Are you, an immediate family member, or a close associate, entrusted, or have been entrusted, with prominent public functions in any country or international institution? This could be a public office, a government role, a regulatory role or a senior military position, at home or overseas.　No Profile　Balances　Ledger　Deposits　Deposit Addresses　Withdrawals　Redemption Limits　Withdrawal Addresses　Bank Accounts　Active Orders　Completed Orders　Trades　Tiers　Mail Queue　Notifications　Activity　Error Log　Exploit Attempts　Referrals　Referral Bonuses　WhiteListed IPs　Risk Scoring Transaction Monitoring　Security Question　Supporting Documents INTERNAL ID　IQZZTFC MANUAL RISK SCORE　0 Save TOTAL RISK SCORE　30 RISK LEVEL　Low COMPLYADVANTAGE HITS　0 COMPLYADVANTAGE LINK　ComplyAdvantage Link VERIFICATION APPLICATION STATUS　Auto-Approved CATEGORY　Save & Inform User　NUMBER OF ATTEMPT TO JUMIO　1 Reset　Risk Score Update History　DATE & TIME　FULL NAME　ROLE　RISK SCORE　RISK LEVEL　3/6/2022 4:56:08 AM　Auto (System)　Auto (System)　30　Low　3/6/2022 4:52:03 AM　Auto (System)　Auto (System)　30　Low　3/6/2022 4:51:48 AM　Auto (System)　Auto (System)　30　Low　3/6/2022 4:50:14 AM　Auto (System)　Auto (System)　30　Low　3/6/2022 4:48:58 AM　Auto (System)　Auto (System)　30　Low　3/6/2022 4:48:16 AM　Auto (System)　Auto (System)　25　Low　3/6/2022 4:47:03 AM　Auto (System)　Auto (System)　25　Low CATEGORY　Save & Inform User NUMBER OF ATTEMPT TO JUMIO　1 Reset Risk Score Update History DATE & TIME　FULL NAME　ROLE　RISK SCORE　RISK LEVEL 3/6/2022 4:56:08 AM　Auto (System)　Auto (System)　30　Low 3/6/2022 4:52:03 AM　Auto (System)　Auto (System)　30　Low 3/6/2022 4:51:48 AM　Auto (System)　Auto (System)　30　Low 3/6/2022 4:50:14 AM　Auto (System)　Auto (System)　30　Low 3/6/2022 4:48:58 AM　Auto (System)　Auto (System)　30　Low 3/6/2022 4:48:16 AM　Auto (System)　Auto (System)　25　Low 3/6/2022 4:47:03 AM　Auto (System)　Auto (System)　25　Low - Profile- Balances- Ledgers- Whitelisted IPs- Risk Score- Monitoring- Transaction Monitoring- Deposits- Deposit Addresses- Withdrawals- Withdrawal Addresses- Security Questions- Bank Accounts- Supporting Documents- Active Orders- Redemption Limits- Completed Orders- Trades- Tiers- API Keys- Internal Queue- Notifications- Activity- Error Log- Exploit Attempts- Referrals- Referral Bonuses - Profile- Balances- Legal- Whitelisted IPs- Deposits- Risk Scoring- Deposits- Transaction Monitoring- Withdrawal- Security Questions- Withdrawal Addresses- Redemption Limits- Bank Accounts- Supporting Documents- Active- Orders- Completed Orders- Trades- Tiers- Mail Queue- Notifications- Activity- Error Log- Exploit Attempts- Referrals- Referral Bonuses CITY ONY 2/030941 Wood 6 Apper mittendry of Essues reparted in scriptional In procentul Car 2004 Eller entrace, from ACD Productions/ 0. FFF 18000, or \$100 for \$100, the stress were in the really o. FITS (adope or hittle of my farningser in in Cript Issueses a Part, There Job Admin Mapline NA. SMARKS, Cyptomore of ITalian STATE V. BUILDING LINEA Disain Daily This Drill Street States Cifiel Timbly. Unders crutification. Athis per 112 perspelle in Formal Ech Morge Official Collections CASSO SPANIE COONOOD'S ILEO CAT alundlig 1031 3 11 Filed 12/21/23 Document 208-3 Case 1:23-cr-00118-AT Case 1:23-cr-00118-AT Document 208-3　Filed 12/21/23　Page 30 of 50 Labels　Values　|---|---|　Profile　Balances　Whitelisted IPs　Ledger　Risk Scoring　Deposits　Transaction Monitoring　Deposit Addresses　Security Ques　Withdrawals　Supporting Docum　Redemption Limits　ents　Withdrawal Addresses　Bank Accounts　Completed Orders　Active　Queue　Orders　Notifications　Trades　Activity　Tiers　Error Log　Notifications　Exploit Attempts　Activity　Referrals　Error Log　Referral Bonuses　Exploit Attempts　Referrals　Referral Bonuses QUESTION SORT ORDER KYC Questionnaire　15/22022 3:0541 MA　Risk Score Update History　NUMBER OF ATTEMPT TO OIMUL　CATEGORY　APPLICATION STATUS VERIFICATION　COMPLYADVANTAGE דואא　COMPLYADVANTAGE SUH　RISK LEVEL　TOTAL RISK SCORE　MANUALRISKSCORE　INTERNAL ID DATE & TIME　19298　Auto-Approved　ComplyAdvantage Link　Medium　57　5165　גפקאמצא QUESTION　Alto (System)　AULL NAME　V Save & Inform User Auto (System) ROLE ANSWER 50　Expirat SCORE RISK RATING　Medium　RISK LEVEL INTERNAL ID　K64HVBN　Filed 12/21/23 MANUAL RISK SCORE　3 Save TOTAL RISK SCORE　45 RISK LEVEL　Medium COMPLIANCE ADVANTAGE　0 RISK LEVEL　Medium COMPLIANCE ADVANTAGE LINK　Compliance Advantage Link VERIFICATION APPLICATION STATUS　Auto-Approved INTERNAL ID　P146C1D MANUAL RISK SCORE　0　See TOTAL RISK SCORE　15 RISK LEVEL　Low COMPLYADVANTAGE HITS　0 COMPLYADVANTAGE LINK　ComplyAdvantage Link VERIFICATION APPLICATION STATUS　Auto-Approved CATEGORY　Save & Inform User NUMBER OF ATTEMPT TO JUMIO　2　Reset Risk Score Update History DATE & TIME　FULL NAME　ROLE　RISK SCORE　RISK LEVEL 7/14/2023 10:19:12 AM　Auto (System)　Auto (System)　15　Low KYC Questionnaire QUESTION SORT ORDER　QUESTION　ANSWER　RISK RATING 10　Place of birth　China　0 11　Citizenship on the document　China　9 12　Please tell us about your current employment status.　Employed　0 13　Please tell us about your occupation or business activity.　小学教师　0 14　Please tell us about business you may conduct in other country(s) besides where you are registered for tax purposes?　No　0 15　Is your individual activity or business registered or conducted in preferential tax zone (for instance, free economic zone, offshore jurisdiction)?　No　0 16　Please tell us about your annual turnover, in individual or business activity, which is handled in cash.　0-10% (none or little of my turnover is in cash)　0 - SECURITY SETTINGS - API KEYS - KYC & DOCUMENTS - ADDRESSES - STANDARDS - TRANSACTION HISTORY - Mobile Balances - Deposit - Deposit Addresses - Withdrawal Limits - Withdrawal - 4 Addresses - Link Account - Active Orders - Completed Orders - Filled Orders - Trades - Sell Order - Market Maker - Activity - Referral Log - Supported Assets - Withdrawals - Referral Bonus - Risk Scoring Profile Balances Ledger Transaction Monitoring Security Configuration Documents Addresses Withdrawals Deposit Addresses Deposit Accounts Redemption Limits Withdrawal Addresses Bank Accounts Active Orders Completed Orders Trades Transfers Wall Clock Time Notifications Activity Error Log Exploit Attempts Referrals Referral Bonuses Whitelisted IPs Risk Scoring COMMENT Screening QA is performed against the Customer. There are 100 hits against the searched Chinese name. All hits are discounted as NAME MISMATCH, DOB MISMATCH, OCCUPATIONAL BACKGROUND MISMATCH, ADVERSE MEDIA UNRELATED TO AML, CTF, or CORPORATES. Senior KYC Onboarding Analyst [REDACTED] emailed the Customer clarification regarding US funds via Zendesk #53673 on 18 May. The Customer cited travelling and investment as primary justification for transaction with US account. Senior KYC Onboarding Analyst [REDACTED] emailed the Customer notification regarding Chinese Residence via Zendesk #54006 on 18 May. Based on the KYC responses, the Customer is Medium Risk considering the following risk factors: 1. Chinese citizenship per PRC Passport 2. Occupation of Information Technology 3. Selected services include Crypto Trading, Participate in Initial Exchange Offering, Crypto Payment 4. Funds received and/or transferred from Australia, Singapore, US Screening is performed against the Customer. There are 100 hits against the searched English name. All hits are discounted as NAME MISMATCH, OCCUPATIONAL BACKGROUND MISMATCH, ADVERSE MEDIA UNRELATED TO AML, CTF, or CORPORATES. Overall, Senior KYC Onboarding Analyst [REDACTED] is of the view that the initial AML/CTF assessment result is consistent with the Customer's profile and does not oppose the decision to onboard the Customer with Medium Risk [56]. - Monitoring - Security - Ledger - Deposits - Deposit Addresses - Supported Documents - Withdrawals - Redemption - Limits - Withdrawal Addresses - Bank Accounts - Active Orders - Completed Orders - Trades - Time in Force - Kill Queue - Source - Notifications - Activity - Error Log - Exploit Attempts - Referrals - Referral Bonus - Whitelisted IPs - RIS DATE & TIME　FULL NAME　ROLE　COMMENT 6 23 2021 10:50:39 AM　There is 3 hit against the searched both for English and Chinese name. All discount as name mismatch Based on the KYC responses, the Customer is Medium Risk considering the following risk factors: 1.Chinese citizenship per PRC passport [31] 2.Selected services include Crypto Trading, Long Term investment, Participate in Initial Exchange Offering, Crypto payment [5] 4.Funds received and or transferred from Russia [15] 5 20 2021 4:23:18 PM　Screening is performed against the Customer. There is 0 hit against the searched both for English and Chinese name. Overall, KYC Onboarding Analyst is of the view that the Initial AML CTF assessment result is consistent with the Customer oppose the decision to onboard the Customer with Medium Risk [51]. - Transaction Monitoring - Security Question - Submission Documents - Redemption Limits - Withdrawal Limits - Profile - Balances - Ledger - Deposits - Deposit Addresses - Withdrawals - Withdrawal Addresses - Bank Accounts - Active Orders - Completed Orders - Canceled Orders - Trades - Tier - Mail Queue - Notifications - Activity - Error Log - Exploit Attempts - Referrals - Referral Bonuses - Whitelisted IPs - Risk Scoring INTERNAL ID　PHIJ8Z0 MANUAL RISKSCORE　0 TOTAL RISK SCORE　15 RISK LEVEL　Low COMPLYADVANTAGE HITS　0 COMPLYADVANTAGE LINK　Complyadvantage Link VERIFICATION STATUS　Auto-Approved CATEGORY　JUMIO NUMBER OF ATTEMPT TO　2 Reset KYC Questionnaire ✓ Save & Inform User QUESTION SORT ORDER　QUESTION　ANSWER　RISK RATING 10　Place of birth　China　0 11　Citizenship on the document　Australia　0 12　Please tell us about your current employment status.　Owner of legal entity　0 13　Please tell us about your occupation or business activity.　Technology and communications - Information technology　0 14　Please tell us about business you may conduct in other country(s) besides where you are registered for tax purposes?　No　0 15　Is your individual activity or business registered or conducted in preferential tax zone (for instance, free economic zone, offshore jurisdiction)?　No　0 16　Please tell us about your annual turnover, in individual or business activity, which is handled in cash.　0-10% (none or little of my turnover is in cash)　5 17　Please tell us about your annual turnover, in individual or business activity, which is handled in cryptocurrency.　0-10% (none or little of my turnover is in cryptocurrency)　5 18　Please tell us about your source(s) of income funds. Select more than one box if necessary.　Salary / Business income　0 19　Please tell us about your source(s) of wealth? Select more than one box if necessary.　Employment income, Business profits　0 20　Please select the service(s) you plan to use. Select more than one box if necessary.　Crypto Trading, Participate in Initial Exchange Offering, Crypto payment　0 21　How much do you plan to deposit per year (USD and crypto combined)?　10 000 100 000　0 22　Please tell us which countries the funds will be received and or transferred from.　Australia　0 23　Let us know what your level of experience is with cryptocurrency trading? Please select one　Beginner　5 24　How many years of experience do you have in crypto trading?　< 1 Year　0 25　Are you, an immediate family member or a close associate, entrusted, or have been entrusted, with prominent public functions in any country or international institution? This could be a public office, a government role, a regulatory role or a senior military position, at home or overseas.　No　0 - Profile - Balances - Ledgers - Deposits - Deposit Addresses - Withdrawals - Redemption Limits - Withdrawal Addresses - Bank Accounts - Active Orders - Completed Orders - Trades - Tiers - Mail Queue - Notifications - Activity - Error Log - Login Attempts - Referrals - Referral Bonuses - Whitelist IPs - Risk Scoring - Profile - Balances - Ledger - Deposits - Deposit Addresses - Withdrawals - Withdrawal Addresses - Redemption Limits - Bank Accounts - Active Orders - Completed Orders - Trades - Tiers - Mail Queue - Notifications - Activity - Error Log - Login Attempts - Referrals - Referral Bonuses - Whitelisted IPs - Risk Scoring - Transaction Monitoring - Security Question - Supporting Documents KYC Questionnaire INTERNAL ID　KYCDSYCL TOTAL RISK SCORE　41 MANUAL RISK SCORE　Medium APPLICATION STATUS　Approved COMPLY ADVANTAGE HITS　0 COMPLY ADVANTAGE LINK　ComplyAdvantage Link VERIFICATION STATUS　Approved NUMBER OF ATTEMPT TO JUMO　7 Reset Save & Return Later QUESTION SORT ORDER　QUESTION　ANSWER　RISK RATING 10　Place of birth　China　0 11　Citizenship on the document.　China　0 12　Please tell us about your current employment status.　Self-employed　5 13　Please tell us about your occupation or business activity.　Services - Tourism and travel agencies activities　5 14　Please tell us about business you may conduct in other country(s) besides where you are registered for tax purposes?　No　0 15　Is your individual activity or business registered or conducted in a preferential tax zone (for instance, free economic zone, offshore jurisdiction)?　No　0 16　Please tell us about your annual turnover, in individual or business activity, which is handled in cash.　0 - 10% (none or little of my turnover is in cash)　0 17　Please tell us about your annual turnover, in individual or business activity, which is handled in cryptocurrency.　0 - 10% (none or little of my turnover is in cryptocurrency)　0 18　Please tell us about your source(s) of income funds. Select more than one box if necessary.　Salary / Business income　0 19　Please tell us about your source(s) of wealth? Select more than one box if necessary.　Business profits　0 20　Please select the service(s) you plan to use. Select more than one box if necessary.　Long term investment　0 21　How much do you plan to deposit per year (USD and crypto combined)?　10 000 - 100 000　5 22　Please tell us which countries the funds will be received and or transferred from.　Australia　0 23　Let us know what your level of experience is with cryptocurrency trading? Please select one.　Beginner　5 24　How many years of experience do you have in crypto trading?　< 1 Year　0 25　Are you an immediate family member or a close associate, entrusted, or have been entrusted, with prominent public functions in any country or international institution? This could be a public office, a government role, a regulatory job or a senior military position, at home or overseas.　No　0 Add Comment Comment DATE & TIME　FULL NAME　TITLE　COMMENT 9-9-2023 10:45:44 AM　Based on the KYC responses, the Customer is Medium Risk considering the following risk factors: 1. Chinese Citizenship as per inputed by the customer [11] 2. Self-employed status [5] 3. Business activity is Services - Tourism and travel agencies activities [5] Screening is performed against the Customer. There are 3 hits against the searched names. All hits can be discounted due to the Name Mismatch. Overall, KYC Onboarding Analyst is of the view that the initial AML/CTF assessment result is consistent with the Customer's profile and does not oppose the decision to onboard the Customer with Medium Risk (Risk Score 41). Profile　Balances　2M7P4EX　Security Questions　Deposit Addresses　Supporting Documents　Withdrawals　Manual Adjustments　Redemption Score　Limits　Addresses　Referrals　Bonuses　Whitelisted IPs　Risk Scoring RISK SCORING TOTAL RISK SCORE　51 REDEMPTION　Medium COMPLIANCE TAG　N/A VERIFICATION　Verified APPLICATION STATUS　Approved COMPLIANCE LEVEL　100 RISK RATING　Medium-high risk KYC QUESTIONNAIRE QUESTION　ANSWER　RISK RATING 1. Citizenship on the document.　China　0 2. Place of Birth　China　0 3. Please tell us about your current employment status.　Employed　0 4. Please tell us about your occupation or business activity.　Editor　0 5. Please tell us about your annual turnover, in individual or business activity, which is handled in cash.　No　0 6. Please tell us about your annual turnover, in individual or business activity, which is handled in cryptocurrency.　No　0 7. Please tell us about your annual turnover, in individual or business activity, which is handled in fiat.　0-10% (None or little of my turnover is in cash)　5 8. Please select your primary source(s) of income/funds. Select more than one box if necessary.　Salary, Business Income, Investments, Savings　5 9. Please select the purpose(s) you plan to use. Select more than one box if necessary.　Crypto Trading, Long term investment, Arbitrage Trading, Participate in Initial Exchange Offering, Crypto payment　15 10. Please tell us which countries the funds will be received and or transferred from.　China　0 11. How much do you plan to deposit per year (USD and crypto equivalent)?　10 000-100 000　0 12. Please select one　Property sale, Employment income, Business profits　0 13. How many years of experience do you have in crypto trading? Please select one　Beginner　0 14. Please tell us about your business registered or conducted in preferential tax zone (for instance, free economic zone, offshore jurisdiction)?　No　0 15. Please tell us about your business registered or conducted in preferential tax zone (for instance, free economic zone, offshore jurisdiction)?　No　0 16. Are you an immediate family member or a close associate, entrusted, or have been entrusted, with prominent public functions in any country or international institution? This means a political office, a government role, a regulatory role or a senior military position, at home or overseas.　No　0 COMMENT Based on the KYC responses, the Customer is Medium Risk considering the following risk factors: Citizenship: China [31] Screening: Screening is performed against 2 bits are discounted because there were no related result by using name and DOB search in the database provided in the link. [5] Funds will be received and or transferred from China. [9] Purpose: Crypto Trading, Long term investment, Arbitrage Trading, Participate in Initial Exchange Offering, Crypto payment [13] Experience: Beginner Notification email has been sent to the Customer due to his country of residency in China. Overall, KYC Onboarding Analyst is of the view that the initial AML/CTF assessment result is consistent with the Customer's profile and does not oppose the decision to onboard the Customer with Medium Risk 51. - Profile - Balances - Transaction Monitoring - Levels - Security Question - Deposits - Support - Deposit Addresses - Trading Documents - Withdrawals - Redemption Limits - Withdrawal Addresses - Bank Accounts - Active Orders - Completed Orders - Trades - Mail Queue - Notices - Activity - Error Log - Exploit Attempts - Referrals - Referral Bonuses - Whitelisted IPs - Risk Scoring ge 46 of 5 Profile Balances Ledger Deposits Deposit Addresses Withdrawals Redemption Limits Withdrawal Addresses Bank Accounts Active Orders Completed Orders Trades Tiers Mail Queue Notifications Activity Error Log Exploit Attempts Referrals Referral Bonuses Whitelisted IPs Risk Scoring Transaction Monitoring Security Question Supporting Documents KYC Questionnaire Risk Score Update History 811 2023 4:37:45 PM 311 12023 4:38:28 PM 3 1 2023 4:40:08 PM El NUMBER OF ATTEMPT TO QUESTION SONT ORDER APPLICATION STATUS COMPLYADVANTAGE COMPLYADVANTAGE MANUALRISKSCORE TOTAL RISK SCORE VERFICATION INTERNAL ID CATEGORY RISK LEVEL Olwint LINK HITS Plasse tell us about your source(s) of weath? Select more than one pox if necessary. Please tell us about your source(s) of income funds. Select more than one box if nece ssary. Flease tell us about your occupation or business activity. Please tell us about your current employment status. Auto-Approved MOT MZDB631 STATE REPRENTIAL CARRETT CHARR DATE & TIME A Stree & informa 2441 Auto (System) Alito (System) Auto (System) FULL NAME OLESTION Auto (System) Auto (SWS481) AU10 (System) Employment income Self-employed Salary business Income 24/02/ ROLE ASSASSAN RECORD ACDAR רמא For רמא 1.62 / 1 ASK LEVEL ASK RATING　109000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000　Presse select the service(s) you plan to use: Select more than one box if necessary.　20 Profile　Balances　Ledger　Deposits　Deposit Addresses　Withdrawals　Redemption Limits　Withdrawal Addresses　Bank Accounts　Active Orders　Completed Orders　Trades　Tiers　Mail Queue　Notifications　Activity　Error Log　Exploit Attempts　Referrals　Referral Bonuses　Whitelisted IPs　Risk Scoring Transaction Monitoring　Security Question　Supporting Documents - Profile- Balances- Transferable Balances- API Keys- Deposits- Deposit Addresses- Withdrawals- Withdrawal Addresses- Reclamation Limits- Funding- Fiat Addresses- Bank Accounts- Active Orders- Counts- Completed Orders- Trades- Ticks- MWI Queue- K- Notifications- Activity- Logs- Login Attempts- Explicit Attempts- Referrals- Referral Balance- Whitelisted IPs