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  • Incomplete Customer Due Diligence

    • FC-1.1.12

      Where a licensee is unable to comply with the requirements specified in Chapters 1, 2 and 3, it must consider whether to terminate the relationship or not proceed with the transaction. If it proceeds with the transaction (to avoid tipping off the customer), it should additionally consider whether it should file a suspicious transaction report.

      October 2010

    • FC-1.1.13

      See also Chapter FC-5, which covers the filing of suspicious transaction reports.

      October 2010