Customer Due Diligence
Customer due diligence verifies a customer’s identity, beneficial ownership, purpose and risk throughout the relationship.
-
Enforcement & Cases
Hong Kong SFC Finds Serious Account-Opening Failures at 12 Brokers
The securities regulator found questionable or forged documents, weak customer due diligence and inadequate monitoring of relationships with overseas intermediaries. Hong Kong’s Securities and Futures…
Read More »