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Anti-Money Laundering Policies and Procedures
Financial Northeastern Securities has adopted the following policies and procedures to detect and prevent money laundering:
- Financial Northeastern Securities has established a comprehensive anti-money laundering program that complies with applicable laws and regulations in the jurisdictions in which it conducts business.
- Financial Northeastern Securities has appointed an anti-money laundering compliance officer to oversee day-to-day operations and maintain internal controls of its anti-money laundering program.
- Financial Northeastern Securities has implemented procedures to monitor transactions for suspicious activity.
- Financial Northeastern Securities has established an ongoing program to train all appropriate personnel in the Firm’s anti-money laundering policies and procedures which includes training in the detection of money laundering and the reporting of suspicious activity.
- Financial Northeastern Securities has established an independent testing program to audit its anti-money laundering policies and procedures.
Important Information For Opening A New Account
To help the government fight the funding of terrorism and money laundering activities, federal law requires financial institutions to obtain, verify, and record information that identifies each person who opens an account.
If you don't provide the information requested or your identity can't be verified, FNS may not be able to open an account or carry out transactions for you. If we have already opened an account, we may have to close it.
Types of information you will need to provide when you open an account.
(1) FNS is required to collect your name, date of birth and address.
(2) We will also need the appropriate identification information described below. You may also need to show your driver's license or other identifying documents.
Corporation, partnership, trust or other legal entity
U.S. Department of the Treasury, Securities and Exchange Commission and FINRA rules already require you to provide most of this information. These rules also may require you to provide additional information, such as your net worth, annual income, occupation, employment information, investment experience and objectives and risk tolerance.
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