Life and Investment Application Checklist

Obligations

Our checklist is divided into sections, to be completed by Sarkissian Financial Group office staff based on the product and information on the application.

Review all applications, to ensure sufficient information on the application for processing to begin.

Review high risk AML indicators and complete section as required based on review of information on application. The purpose is to identify AML risks and escalate concerns; ensure AML requirements are met and adequate MGA AML records are created.

Advanced AML identification information for product owners other than individuals.

Missing information is not to be added to the application by staff; we ask the advisor for missing information by email (template wording is available), attach a copy of the reply email to the application, and diarize email string on file.