Under the CIP Rule, banks (along with certain other categories of financial institutions, such as broker-dealers) are required to collect, prior to opening an account, a minimum of four pieces of ...
On May 13, the Securities and Exchange Commission (SEC) and the US Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) jointly proposed to require that SEC-registered investment ...
See FinCEN, Customer Identification Programs, Anti-Money Laundering Programs, and Beneficial Ownership Requirements for Banks Lacking a Federal Functional Regulator, 85 FR 57129 (Nov. 16, 2020) ...
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