The signed report, in PDF format, should be returned to the AED at the following email address: AED.finvehicles@en.etat.lu

Format of the PDF file name to be transmitted:
Name of RAIF_RC_REPORT_2023_DDMMYYYY(date of transmission).pdf

2. Which elements should the RC report cover?

The RC report must cover at least the following points:

• The correct name, including the corresponding RCS number of the RAIF;
• The results concerning the identification and assessment of AML/CFT risks and the measures taken to mitigate them, as well as the tolerance level of the RAIF's AML/CFT risk;
• The results of the due diligence measures performed on clients, initiators of the RAIF, portfolio managers to whom management has been delegated, and investment advisors, including ongoing due diligence;
• The results of enhanced due diligence measures performed on intermediaries acting on behalf of their clients, including the ongoing due diligence;
• The results of enhanced due diligence measures on identified individuals as politically exposed persons (PEPs) under the provisions of article 3-2 (4) (d) of the AML/CFT Law;
• The results of due diligence measures performed on the assets of the RAIF, including the ongoing due diligence;
• The monitoring of blocked positions for AML/CFT purposes at the level of the registers of bearer shares of the RAIF and/or the intermediaries involved in the marketing of the RAIF;
• The periodic review of any business relationship according to its risk level;
• In the event of delegation of tasks relating to professional obligations to third parties, the results of checks carried out on the compliance of services provided by these third parties, not only with legal and regulatory provisions, but also with contractual provisions, where appropriate, the reasons for which the RAIF has chosen new third parties during the year;
• The statistical background of identified suspicious transactions, including the number of reports of suspicious transactions made by the RAIF to the Luxembourg Financial Intelligence Unit, the *Cellule de renseignements financiers* (CRF), as well as the amount of related funds;
• The statistical background of reported transactions within the framework of financial sanctions concerning terrorist financing, as well as those linked to the implementation of United Nations Security Council resolutions and acts adopted by the European Union, and the amount of related funds; and
• The number of observed breaches of professional obligations for AML/CFT purposes. If this number is zero, it must be stated explicitly.