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Politically Exposed Person (PEP) Self-Declaration
In accordance with global Anti-Money Laundering laws, Kraken has a regulatory obligation to determine if the applicant/client of an individual or corporate account or an ultimate beneficial owner of an account is a Politically Exposed Person (PEP). While your region may have its own nuances, Kraken is aligned with the Financial Action Task Force’s (FATF) characterization of a PEP as an individual who is or has been entrusted with a prominent public function.
Definition of Politically Exposed Person (PEP)
A Politically Exposed Person (PEP) is defined as an individual that holds or has held prominent public functions, either foreign or domestic, within a country or international organization. A prominent public function may include:
  1. 1
    Heads of state: Refers to the chief public representative of a country, ceremonial figurehead or head of government such as a president, chancellor, premier, prime minister, monarch
  2. 2
    Government ministers, cabinet members or equivalent politicians: Refers to first-level executives who advise the government on policy matters, oversee the interpretation, formulation and implementation of legislation and government policies such as a cabinet member, secretary, or minister
  3. 3
    Senior government executives: Refers to senior government officials or executives who manage a specific region or municipality or a specific sector of public administration that may also oversee other government agencies and organizations as part of a political portfolio. This may include a senior, regional, municipal official or commissioner
  4. 4
    Diplomatic officials: Refers to a high-ranking diplomat who represents a state and is usually assigned to another sovereign state or to an international organization as the resident representative such as an ambassador
  5. 5
    Leader or senior officials of a political party: Refers to an official representative, senior official, or primary spokesperson of a political party
  6. 6
    Judicial Officials: Refers to senior member of a court charged with making decisions about legal matters such as a magistrate, justice, chief judge
  7. 7
    Military Officials: Refers to a commissioned officer that is a distinguished, senior member of the military such as a Chief of Staff, General, Lieutenant General, Major General
  8. 8
    Central bank governors: Refers to a member of the Board of Governors of a Central Bank changed with implementing the government’s monetary policy and the issuing of its currency
  9. 9
    Board members or senior executives of an intergovernmental organization or stated-owned corporation: Refers to executive suite or board of directors members charged with the management of an international or stated owned enterprise, either wholly or partially owned by a government
Definition of Relatives and Close Associates (RCA)
The definition and legislative requirements of a PEP extends to the Relatives and Close Associates of a PEP. A Relative or Close Associate (RCA) is an individual with a social or professional connection to a PEP. RCAs may include:
  1. 1
    Spouses, partners, parents of children: Either through birth or marriage (current or past). Refers to legal or common-law spouses, ex-spouses, fiances, boyfriend, girlfriend
  2. 2
    Parents: Either through birth, adoption or marriage (current or past). Refers to father, mother, step-father, step-mother
  3. 3
    Children: Either through birth, adoption or marriage (current or past)
  4. 4
    Siblings: Either through birth, adoption, or marriage (current or past). Refers to brother, sister, step-brother, step-sister, half- brother, half-sister
  5. 5
    Uncles, aunts, cousins: Intermediate family members either through birth, adoption or marriage (current or past). Uncles or aunts refers to a sibling of your parent or a person married (legal or common-law) to your parent’s sibling. Cousins refers to the children parent's siblings.
  6. 6
    Close friends: Refers to any individual publicly known or actually known to be a close personal associate and/or confidant
  7. 7
    Legal advisors: Refers to any individual publicly known or actually known to be a close professional associate who provides advice, guidance, and support related to a range of legal issues or concerns.
  8. 8
    Individuals with legal arrangements or close business or political relationships with PEP: Refers to any individual known to be a close political associate or professional associate engaged in a relationship by means of contract or an exchange of promises in business (either oral or written) which may include however not limited to; Business Partners, Business Managers, Advisors or Consultants, Accountants, Property Managers or Agents.
Document requirements for PEP self-declaration
If you’re a PEP (or have been a PEP) or RCA of a PEP (or an individual who has been a PEP) you may need to submit at least one supporting documents based on the criteria below:
1. Financial Statements demonstrating Source of Wealth
Source of Wealth: refers to the origin of your entire body of wealth or the means of overall accumulation of wealth overtime (e.g. an accumulation of salary, inheritance, crypto investments, etc.).
  • Statements indicating balances held in digital or fiat currency such as records of on-chain cryptocurrency holdings, bank statements, brokerage statements and other statements of securities holdings, certifications of deposit, tax assessments and appraisal reports issued by qualifying independent third parties such as a registered broker dealer, registered investment advisor, licensed attorney in good standing, or certified public accountant.
  • Must include your name and dated within the prior three month period of this declaration.
  • Cryptocurrency wallets used for this submission may require a cryptographic signature demonstrating ownership.
2. Asset Statements demonstrating Source of Funds:
Source of Funds: refers to the origin and means of initial and ongoing deposits (i.e. fiat and/or crypto) into the account via transfers between Kraken and your other financial institutions through funding rail options (e.g. the source could be salary or savings from a bank account) that have occurred to date or you intend to use in the future.
  • Statements from bank, digital exchange, retirement, investment account or the equivalent that displays transfers between Kraken and other financial institutions.
  • Must include your name, the institution’s company letterhead and dated within the prior three month period of this declaration.
  • Cryptocurrency wallets used for this submission may require a cryptographic signature demonstrating ownership.
If one supporting document demonstrates both your body of wealth and intended/actual interaction between Kraken and your other financial institutions, then a second document is not required.
Please note that Kraken has a regulatory obligation to take reasonable measures to identify Proof of Source of Wealth and Proof of Source of Funds documentation in conjunction with these cases.