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Many of our clients look to us for industry answers. In turn, we
often go to our clients for answers. PMP provides an opportunity
to network with many of the best compliance personnel in the
industry.
From time to time, we send short questionnaires to our clients.
Those who respond are provided with summaries from all responders,
but individual identity is never disclosed.
We recently received answers to the following questions from
several of our clients. If you would like to participate by
responding via email, we will see that you also receive an updated
summary of responses in the near future. You will also be included
in future questionaires, unless you choose not to receive them.
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QUESTIONS FOR DECEMBER 2002 REGARDING YOUR COMPANY’S ANTI MONEY LAUNDERING (AML) PLANS
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1.
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A person in what position has been appointed to serve as your Compliance Officer for AML? (e.g. CEO, Vice President of Compliance, etc.)?
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2.
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Are health and P&C products excluded in the new legislation?
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3.
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Briefly describe your company’s process (or plans for a process) for assessing product risk.
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4.
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Who will you require to be trained on AML?
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5.
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What kind of training are you doing or will you be doing for home office employees (if any)?
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6.
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What kind of training are you doing or will you be doing for agents (if any)?
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Completed_by_________________________________________
Title____________________________________________________________
Company__________________________________________________________
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To participate, please print this page and fax
with your answers to C. J. Rathbun at 253-679-2543
or simply
send us an email with your answers
to the above questions.Please return by December 15.
You will receive a summary of the responses early in January 2003.
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Professional Market Practices, Inc.