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There are many data sources that can help with KYC (Know Your Customer) procedures. Discuss where the line is drawn between KYC and the invasion of privacy.

How do you develop a policy to investigate customers and prospects without crossing the line of confidentiality?
How do you protect your clients and employees?
Name the data sources that would be helpful in a due diligence process.
Who should have access to these?
Should all levels of employees of access?
How would you develop a procedure of level of access if you were developing a compliance program in the stock brokerage firm you work for?

 

Basic Finance, Finance

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