receiving agent deposits or AUTHORIZED final DELEGATE, collections. DELEGATE RECORDS, Basically, and BONDING describe how a REQUIREMENTS transaction Prepare the flows from authorized start to finish. delegates and Copy of any company enforcement location action(s) issued information sheet by any local, Attachment D – state, or federal Copy of surety agency and all bond, current relating invoice and correspondence proof of to such payment/or enforcement copies of current action, as well safekeeping as a listing of receipts for any material securities litigation, pledged as a pending or deposit in lieu of settled, against bond. the company. Provide your Copy of wire agent policies: transfer receipt policies and of each addressing type of delegate payment selection criteria, instrument. delegate operations, and delegate loss prevention. Blank copy of the authorized delegate contract or delegate trust agreement. List of domestic and foreign paying agents.
receiving agent deposits or final collections. Basically, describe how a transaction flows from start to finish. Copy of any enforcement action(s) issued by any local, state, or federal agency and all relating correspondence to such enforcement action, as well as a listing of any material litigation, pending or settled, against the company. Copy of wire transfer receipt and of each type of payment instrument. AUTHORIZED DELEGATE, DELEGATE RECORDS, and BONDING REQUIREMENTS Prepare the authorized delegates and company location information sheet – Attachment D Copy of surety bond, current invoice and proof of payment/or copies of current safekeeping receipts for securities pledged as a deposit in lieu of bond. Provide your agent policies: policies addressing delegate selection criteria, delegate operations, and delegate loss prevention. Blank copy of the authorized delegate contract or delegate trust agreement. List of domestic and foreign paying agents.
currency-exchangers-pre-examination-packet.docx