Self-Examination Questionnaire: For FCMs, FDMs, IBs, CPOs and CTAs

Entire Self-Examination Questionnaire: For FCMs, FDMs, IBs, CPOs and CTAs in PDF format (Updated as of  May 2013)

You can also download individual sections of the Self-Examination Questionnaire in PDF format by clicking on the links below:

• Introduction to Self-Examination Questionnaire in PDF format
• General Self-Examination Questionnaire for All Registration Categories in PDF format
• Supplemental Questionnaire for FCMs in PDF format
• Supplemental Questionnaire for FDMs in PDF format
• Supplemental Questionnaire for IBs in PDF format
• Supplemental Questionnaire for CPOs in PDF format
• Supplemental Questionnaire for CTAs in PDF format
• Sources of Additional Information in PDF format
• Appendix A - Anti-Money Laundering Questionnaire in PDF format
• Appendix B - Business Continuity and Disaster Recovery Plan Questionnaire in PDF format
• Appendix C - Ethics Training Policy Questionnaire in PDF format
• Appendix D - Privacy Policy Questionnaire in PDF format

Entire Self-Examination Questionnaire: For FCMs, FDMs, IBs, CPOs and CTAs in Word format (Updated as of May 2013)

You can also download the appendices to the Self-Examination Questionnaire in a Word format by clicking the links below:

• Appendix A - Anti-Money Laundering Questionnaire in Word format
• Appendix B - Business Continuity and Disaster Recovery Plan Questionnaire in Word format
• Appendix C - Ethics Training Policy Questionnaire in Word format
• Appendix D - Privacy Policy Questionnaire in Word format