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#2256919 - 07/19/21 10:50 PM DOEP Phase 1 Error
AUTigers65 Offline
Member
Joined: May 2006
Posts: 57
We filed a DOEP on a Phase 1 customer as a "Listed Company", rather than as a "Listed Company Subsidiary". Just refile the DOEP with the correct information, document it, and move on? Or would this be considered an invalid exemption and require backfiling of CTRs since the DOEP was filed? The business has always qualified as a Phase 1 and still does.

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BSA/AML/CIP/OFAC Forum
#2256930 - 07/20/21 11:30 AM Re: DOEP Phase 1 Error AUTigers65
rlcarey Offline
10K Club
rlcarey
Joined: Jul 2001
Posts: 83,364
Galveston, TX
Call FinCEN for guidance.
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