Giao dịch, Tài khoản & Hành vi cấmCâu 283 / 398
A customer asks to open an account identified only by a number to keep the account owner's identity secret from the firm. Is this permissible?
a.Yes, numbered accounts hide identity from the firm entirely
b.No; the firm may use a number for confidentiality, but must still know and document the true account owner's identity
c.Yes, as long as the customer pays in cash
d.No account may ever use a number or symbol
Giải thích
A firm may use account numbers or symbols for confidentiality, but it must still obtain a signed statement of the customer's ownership and know the true identity of the account owner. Hiding the owner's identity from the firm would violate CIP and recordkeeping rules.
Luyện miễn phí toàn bộ 398 câu hỏi — không cần đăng ký.
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