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To help the government fight the funding of terrorism and money laundering activities, Federal law requires all financial institutions to obtain, verify, and record information that identifies each person who opens an account. This notice answers some questions about your firm's Customer Identification Program (CIP).

What types of information will I need to provide?
When you open an account, your firm is required to collect information such as the following from you: your name, address, date of birth, Identification number (for US citizens, this identification number is your Social Security number or your employer identification number, and for non-US citizens, this identification number is your passport number, your alien-identification card number or government issued identification number).  US Department of the Treasury, Securities and Exchange Commission, NASD, and New York Stock Exchange rules already require you to provide additional information, such as net worth, annual income, occupation, employment information, investment experience and objectives, and risk tolerance.

What happens if I don't provide the information requested or my identity can't be verified? Your firm may not be able to open an account or carry out transactions for you. If your firm has already opened an account for you, they may have to close it.

We thank you for your patience and hope that you will support the financial industry's efforts to deny access to America's financial system by terrorists and money launders.


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