Managing Compliance With Your Customer Identification ... - IIR

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At Account Opening: ‣Determine appropriate level of due diligence required to evaluate various potential risks that may be posed by new customer Ongoing Relationship: ‣Identify as early as possible suspicious activity and/or customers that may represent money laundering or terror financing risks
Meeting the ongoing challenge of CIP and KYC Screening Capabilities ‣Portfolio reviews ‣Searching and Matching ‣Workflow and documentation Information ‣Risk based ‣Up-to-date Information Sources ‣Relationships
Page 1 and 2: Managing Compliance With Your Custo
Page 4 and 5: Customer Identification Program is
Page 6 and 7: When are CIP and KYC complete? a) O
Page 8 and 9: When are CIP and KYC complete? a) O
Page 12 and 13: Screening Capabilities: Enable effi
Page 14 and 15: External Information Sources •Com
Page 16 and 17: Internal Information Sources - The
Page 18 and 19: Summary CIP and KYC is an ongoing e
Page 20 and 21: Definition of Customer includes: De
Page 22 and 23: Recent Guidance Agent Lending - Apr
Page 24 and 25: Core Four Identification Informatio
Page 26 and 27: CIP vs. KYC/Due Diligence • CIP i

Managing Compliance With Your Customer Identification ... - IIR

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