Get the free Customer Identification and Suitability

Customer Identification and Suitability Confirmation Worksheet www. atheneannuity. com Athene Annuity and Life Company Mail or fax completed form to P. O. Box 1555 Des Moines IA 50306-1555 Fax 866 709 3922 7700 Mills Civic Parkway West Des Moines IA 50266-3862 Contact us Nyack NY 10960 Annuity Customer Contact Center Tel 888 266 8489 Thank you for your interest in Athene s Fixed Annuity Product. Indicate in years how long you have owned or have previously owned each of the following products...

How to fill out customer identification and suitability

How to fill out customer identification and suitability

1. Step 1: Gather all necessary customer identification documents, such as passport, driver's license, or government-issued identification.
2. Step 2: Create a customer identification form that includes fields for personal information like name, address, date of birth, and contact details.
3. Step 3: Obtain consent from the customer to collect and process their personal information for identification purposes.
4. Step 4: Verify the authenticity of the identification documents by comparing them with the information provided by the customer.
5. Step 5: Assess the customer's suitability by evaluating their financial goals, investment knowledge, risk tolerance, and investment experience.
6. Step 6: Document the customer identification and suitability process, including any additional information or notes that may be relevant.
7. Step 7: Regularly review and update the customer identification and suitability information as necessary.

Who needs customer identification and suitability?

1. Financial institutions such as banks, brokerage firms, and insurance companies need customer identification and suitability to comply with regulatory requirements.
2. Investment advisors and financial planners need customer identification and suitability to provide appropriate advice and recommendations tailored to the individual's financial situation and goals.
3. Government agencies and law enforcement entities may require customer identification and suitability information for anti-money laundering and counter-terrorism financing efforts.
4. Individuals who are opening new bank accounts, applying for loans, purchasing insurance policies, or engaging in investment activities may also need to go through the customer identification and suitability process.

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What is customer identification and suitability?

Customer identification and suitability is the process of verifying the identity of a customer and evaluating their financial situation to ensure the products or services offered are appropriate for them.

Who is required to file customer identification and suitability?

Financial institutions, such as banks and investment firms, are required to file customer identification and suitability for their clients.

How to fill out customer identification and suitability?

Customer identification and suitability forms can be filled out by collecting necessary information from the client, such as ID documents, financial statements, and risk tolerance assessments.

What is the purpose of customer identification and suitability?

The purpose of customer identification and suitability is to protect both the customer and the financial institution by ensuring that the products or services offered are suitable for the customer's financial situation and risk tolerance.

What information must be reported on customer identification and suitability?

The information reported on customer identification and suitability forms typically includes personal information of the client, financial information, risk tolerance assessments, and investment objectives.