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  • Incomplete Customer Due Diligence

    • AML-1.1.11

      Where a Capital Market Licensee is unable to comply with the requirements specified in Chapter AML-1, 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.

      Amended: January 2022
      Added: October 2010

    • AML-1.1.12

      See also Chapter AML-4, which covers the filing of Suspicious Transaction Reports.

      October 2010

    • AML-1.1.13

      The CBB will monitor the application of these requirements to Capital Market Licensees existing customer base.

      Amended: January 2022
      Added: October 2010