| a) |
Upon opening account (for both individual and company customer) or making transaction, he must obtain the customer's identity and other information if the transaction involves wire transfer equal to or exceeding HK$8,000 or cash transaction equal or exceeding HK$120,000 |
| b) |
Using SAFE assessment and record the risk indicator or reason for rejection |
| c) |
Keep record on all correspondences with the customers |
| d) |
Immediately report to supervisor on any suspicious customer or activities (the latest before the end of the business day) |
| e) |
Must not inform the customer on the company's suspicion on his background or activities, otherwise an offence of "tipping off" would be committed |
