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Investment firm licenseesG may use authenticated SWIFT messages as a basis for confirmation of the identity of a financial institution under FC-1.10.1(d) and (e) where it is dealing as principal. For customers coming under Paragraph FC-1.10.1(d) and (e), investment firm licenseesG must also obtain and retain a written statement from the parent institution of the subsidiary concerned, confirming that the subsidiary is subject to the same AML/CFT measures as its parent.

Amended: July 2010
(2 Versions)
Up to Jun 30 2010Jul 1 2010 onwards
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