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Customer Identification Program Notice

Important Information about Procedures for Opening a New Account

To help the government fight the funding of terrorism and money laundering activities, Federal law requires all financial institutions to obtain, verify, and record information that identifies each person who opens an account. 

What this means for you:

When you open an account, we will ask for your 

  • Name, 

  • Address, 

  • Date of birth, and 

  • Identification number.


The identification for a U.S. citizen would be a taxpayer identification number. For a non-U.S. citizen, the identification number would include the​ 

  • Taxpayer identification number,

  • Passport number,

  • Country of issuance,

  • Alien identification number, or

  • Government-issued identification showing nationality, residence, and 

  • Passport.


We may also ask to see your driver's license or other identifying documents. 

A corporation, partnership, trust, or other legal entity may need to provide further information, such as its 

  • Principal place of business,

  • Local office, 

  • Employer identification number, 

  • Articles of Incorporation,

  • Government-issued business license,

  • A partnership agreement, or

  • A trust agreement.

U.S. Department of the Treasury, Securities and Exchange Commission, and FINRA rules already require you to provide most of this information. These rules also may require you to provide additional information, such as your

  • Net worth,

  • Annual income,

  • Occupation,

  • Employment information,

  • Investment experience, and

  • Objectives and risk tolerance.

What happens if I don't provide the information requested or my identity cannot be verified?


We may not be able to open an account or carry out transactions for you. If we have already opened an account for you, we may have to close it.

Should you have any questions, please free to contact us.

Welcome to E1 Asset Management

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