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12.3.1 Individual Customer Account

Before opening an individual customer account on its books, a Trading Member must:—

(1) obtain particulars of the customer (and any person authorised to trade for the customer), including the full name, a copy of the identity card/passport, specimen signature, residential and mailing addresses, telephone numbers, occupation, and the name, address and telephone number of the customer's employer, and investment objectives (if applicable); and
(2) take suitable steps to verify the customer's identity and intention if the customer does not open the account in person.

Refer to Practice Note 12.3.1, Practice Note 12.3.1, 12.3.2 and Practice Note 12.3.1, 12.3.4.

Amended on 1 July 20161 July 2016.