Regulations第 67 / 110 题
A firm's customer identification program must, at a minimum, collect which information from a new individual customer?
a.Employer name, annual income, net worth, and investment experience
b.Credit score, marital status, and number of dependents
c.Name, date of birth, physical address, and taxpayer identification number
d.Passport number and two professional references
解析
The customer identification program requires name, date of birth, a street address, and a government identification number so the firm can form a reasonable belief that it knows the customer's identity. Financial profile items such as income and net worth are gathered for suitability purposes, not identity verification. Credit scores and references are not CIP elements.
法律依据: USA PATRIOT Act免费刷完整 110 道题库 — 无需注册。
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