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銳意尋找銀行工的朋友，相信會經常遇上合規部門職位的招聘廣告，KYC、CDD、AML更「老是常出現」。 究竟這3組英文字母分別代表甚麼呢？ 工作性質又有甚麼不同呢？
KYC（認識你的客戶）是Know Your Customer/Client的縮寫，是銀行對客戶背景進行了解和審查的過程。 KYC之所以會成為當前銀行處理開戶業務流程中的重要一部分，主要是由於2001年美國發生911事件之後，聯合國的防制洗錢金融行動工作組織加強了對反洗錢和打擊恐怖份子募資的管控，並發佈了一份KYC方案，給世界各國的銀行參考。 目前香港大多數銀行的KYC守則即基於這個國際標準制定。 香港的《銀行業條例》中，也規定所有金融機構都必須對其客戶進行KYC審查，否則將面臨嚴苛的罰則。
The very nature of KYC and AML regulations globally prohibits organizations from following a uniform KYC model. In an ever-changing regulatory landscape, with no standardized model, the processes and rules for collecting, maintaining, and updating client data differ vastly across banking organizations.
- What Is Know Your Client (KYC)?
- Understanding Know Your Client
- KYC Requirements
- KYC Compliance
- Aml and KYC
- KYC and Cryptocurrency
- The Bottom Line
Know Your Client (KYC) is a standard in the investment industry that ensures advisorscan verify a client's identity and know their client's investment knowledge and financial profile. Three components of KYC include the customer identification program (CIP), imposed under the USA PATRIOT Act in 2001, customer due diligence (CDD), and ongoing monito...
The Know Your Client (KYC) rule is an ethical requirement for those in the securities industry dealing with customers during the opening and ongoing maintenance of accounts. It is implemented at the onset of the customer-broker relationship to establish the essential personal profile of each customer before any financial recommendations are made. T...
Customer Identification Program
CIP requires that financial firms obtain four pieces of identifying information about a client, including name, date of birth, address, and identification number.
Customer Due Diligence
CDD is a process in which all of a customer’s credentials are collected to verify their identity and evaluate their risk profile for suspicious account activity.
Enhanced Due Diligence
EDD is used for customers that are at a higher risk of infiltration, terrorism financing, or money laundering and additional information collection is often necessary.
Two rules governing KYC include Financial Industry Regulatory Authority(FINRA) Rule 2090 (Know Your Customer) and FINRA Rule 2111 (Suitability). FINRA Rule 2090 requires every broker-dealer to use reasonable diligence when opening and maintaining client accounts and to know and keep records on the profile of each customer, as well as identify each ...
The U.S. Financial Crimes Enforcement Network (FinCEN) requires both customers and financial institutions to comply with KYC standards to prevent illegal activity, specifically money laundering. AML, anti-money laundering, is a term for the range of measures and processes used to achieve regulatory compliance. KYC is a component of AML. FinCEN requ...
The cryptocurrency market is praised for providing a decentralized medium of exchange that promotes confidentiality. However, these benefits also present challenges in preventing money laundering. Criminals see cryptocurrency as a vehicle to launder money and as a result, governing bodies are looking for ways to impose KYC on cryptocurrency markets...
Know Your Client (KYC) is a set of standards and requirements investment and financial services companies use to verify the identity of their customers and any associated risks with the customer relationship. KYC requires customers to provide a personal identification profile and KYC ensures investment advisors are aware of their client's risk tole...
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認識你的客戶 （Know your customer），是企業確認客戶身份的程序，通稱 KYC ，在各個公司或機關的 華語 名稱不同，也稱為 瞭解你的客戶 、 認識客戶政策 、 客戶身分審查 、 客戶身分盡職調查 等。 此一詞語也用在 銀行監管 （英語：bank regulation） 。 「認識你的客戶」程序也適用在不同規模的公司，以確認其可能的客戶、顧問或經銷商符合反 賄賂 標準（anti-bribery compliant）。 越來越多的 銀行 、 保險公司 會要求客戶提供具體的反 腐敗 盡職調查 資訊，以確認客戶的誠實和正直。
How to Comply With KYC/AML-related Regulatory Developments in Hong Kong. Aline Fade. Content Manager. In 2021, Hong Kong regulators encouraged financial institutions to strengthen anti-money laundering (AML) and counter-financing of terrorism (CFT) compliance.
