STEP Bahamas Branch and the AIBT USA PATRIOT ACT
STEP Bahamas Branch and the AIBT USA PATRIOT ACT
STEP Bahamas Branch and the AIBT USA PATRIOT ACT
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SEC 326<br />
SEC Rules<br />
7 Risk factors:<br />
- Broker Dealer’s Size<br />
- Location<br />
- Method by which customers open accounts<br />
- Type of Accounts<br />
- Types of Transactions<br />
- Customer base<br />
- Reliance on ano<strong>the</strong>r broker dealer (ie. introducing broker-clearing agent)<br />
Questions:<br />
What is an Account?<br />
Who is a Customer?<br />
<strong>STEP</strong> <strong>Bahamas</strong> & <strong>the</strong> <strong>AIBT</strong><br />
September 26th, 2002<br />
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