This document provides guidelines for Relationship Managers (RM) and Investment Advisors (IA) to review certifications provided by Account Holders and Ultimate Beneficial Owners (UBO) as part of the Client Risk Program. It includes considerations for confirming the accuracy of self-certifications and procedures for escalation if tax evasion is suspected.
documents/vol00010-efta01478399-pdf.pdf
{"title":"Client Risk Program — Affirmation and Escalation Guideline","key_people":["Relationship Manager","Investment Advisor"],"document_type":"correspondence","document_subtype":"guideline","key_organizations":["DB"],"reference_numbers":["WM167634 023496.031516","EFTA01478399"]}