AML Notice

Important Information About Procedures for Opening a New Account

To help the government fight the funding of terrorism and money laundering activities, Federal laws require all financial institutions to obtain, verify and record information that identifies each entity, or person, that engages in our services. Huatai Securities (USA), Inc. may request copies of formation documents to verify the company identification of an institutional client. If you open an account on behalf of a legal entity subject to the Customer Due Diligence Rule, we will request the names of the beneficial owners, their personal identifying information, and government-issued documents such as a driver’s license and passport so we may verify their identity.