BSA/AML Student Exercises Dec. 2022
LCB12/15
Checklist 4.2: CIP Account Review (cont.)
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Did the institution obtain the following information prior to opening an account: 31 CFR 1020.220(a)(2)(i)(A) Name?
Y Y
Y
Date of birth (individuals only)?
Y
Y
Y
Y Y Y
Address?
For U.S. persons — taxpayer identification number (TIN)?
Y Y
Y
NA NA NA
For non-U.S. persons — a TIN or other number from a government-issued photographic identification document?
Based on the requirements of the institution's CIP policy and procedures, did the institution obtain the required documentary or non-documentary verification of identification? Y :l Y If the account was opened without a taxpayer identification number (TIN), did the institution: 31 CFR 1020.220(a)(2)(i)(B) , Obtain some form of confirmation that the customer applied for a TIN prior to opening the account? NA NA NA
NA NA NA
Follow up to ensure that it obtained the TIN?
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