Most Popular Compliance Content
Verifying customer identity
11/01/2003
Question: When we are attempting to verify the identity of a customer, what would constitute a substantial discrepancy?
How Much Is Enough for Compliance?
11/01/2003
Getting needed resources is always a challenge for compliance. Every now and then regulators provide some help.
OFAC Lists
11/01/2003
Ten years ago, the OFAC lists were largely geographic based. Now OFAC identifies targets using a list-based approach.
Advertising investment products
11/01/2003
Question: Our advertising agency has designed an ad for our investment services.
Advertising and privacy regulations
11/01/2003
Question: We are opening a new branch and want to send advertisement flyers to people in the new branch's market area.