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Customer Identification Programs (10)
Your search for Customer Identification Programs returned 10 results.
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5/12/2016 | Content area: Broker-Dealer | CPO/CTA
Brokers, mutual funds, futures commission merchants and commodities introducing brokers have until May 2018 to begin to ask new clients opening accoun...
2/10/2016 | Content area: Broker-Dealer
Significant holes in the framework of a Miami-based brokerage firm’s customer identification program have led to a $1 million penalty for anti-money l...
1/15/2015 | Content area: Broker-Dealer
More than 10 years later and the beat goes on. The SEC’s Division of Trading and Markets has again extended its “no-action” position—first taken in 20...
1/01/2015 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
Each registered open-end company is subject to the requirements of 31 U.S.C. 5318(l) and the implementing regulation at 31 CFR 103.131, which requires...
1/11/2013 | Content area: Investment Adviser
This is a no-action letter from the SEC's Division of Trading and Markets released in early 2013 to continue a multi-year relief granted to broker-dea...
1/11/2011 | Content area: Investment Adviser
This is a continuation of the SEC's no-action relief for broker-dealers to rely upon an investment adviser's customer identification program (CIP). Th...
9/20/2010 | Content area: Broker-Dealer
There's no formal requirement that investment advisers maintain an anti-money laundering program but if you have one, you can bet examiners are going ...
9/16/2010 | Content area: Broker-Dealer
Click here to open a Word file that is a template for a small firm's AML program featuring compliance and supervisory procedures.
6/09/2003 | Content area: Broker-Dealer
SECURITIES AND EXCHANGE COMMISSION[Release No. 34-47752, File No. S7-25-02] DEPARTMENT OF THE TREASURY 31 CFR Part 103 RIN 1506-AA32 Customer Identifi...
6/09/2003 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
SECURITIES AND EXCHANGE COMMISSION RIN 3235-AH16 17 CFR Part 270 [Release No. IC-26031; File No. S7-26-02] DEPARTMENT OF THE TREASURY 31 CFR Part 103 ...


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