Managing Compliance With Your Customer Identification ... - IIR
Managing Compliance With Your Customer Identification ... - IIR
Managing Compliance With Your Customer Identification ... - IIR
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Michelle Neufeld – JP Morgan Chase<br />
Tara Loftus – UBS Financial Services<br />
Section 326 – <strong>Customer</strong> <strong>Identification</strong> Program Basic Requirements<br />
1. Verify the identity of each customer to the extent reasonable and<br />
practicable<br />
2. Maintain records<br />
3. Determine whether the person appears on a list designated for purposes of<br />
this rule.
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