Managing Compliance With Your Customer Identification ... - IIR

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Screening Capabilities: Enable efficient and cost effective checking of high risk entity information from internal and external databases Advanced entity resolution and disambiguation Allow for periodic reviews of entire customer portfolios Allow for management of false positives Serve as a tool in documenting name searches against databases in order to support due diligence and investigations.
External Information Sources •Government lists •International organization lists •Commercially available databases » Terrorists » Financial crimes » Narcotics » Senior public officials » Military figures » Religious leaders » Charities
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 10 and 11: At Account Opening: ‣Determine ap
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

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