Series 82 podcast · Episode 11
Customer Documentation and Screening
57 min of listening
Opening Customer Accounts. Free audio, ready to play in your browser.
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the written unit.
Listen at your own pace, then use the matching lesson to revisit the details. The written material includes:
- Identifying Potential Investors and the Confidentiality Agreement
- Customer Screening: CIP, KYC, and Entity Documents
- Account Authorizations: POA, Trust Documents, and Corporate Resolutions
- Documentation of Customer Authorization: Full Versus Limited
- Documentation Necessary for Electronic Private Placement Offerings
- QIB Certification Letters, Subscription Agreements, and Investor Questionnaires
- Regulation S-P: Initial Privacy Notice and Opt-Out
- Regulation S-P: Disclosure Limitations, Exceptions, and Safeguarding
Put this episode into practice with adaptive questions and flashcards in the full Series 82 course.