ONLINE AND NOT IN-PERSON CHECKLIST FOR COMPLIANCE CONCERNS

Updated 11/11/2020

This tool covers requires and best practices for online and non-in-person account opening. Topics includes:

  1. BSA/AML Program requirements
  2. beneficial ownership,
  3. CIP,
  4. verification of information,
  5. disclosures and timing requirements,
  6. funding, and
  7. privacy concerns.

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