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WorksheetsDay 2
Total questions: 11
Worksheet time: 6mins
What are the 3 critical steps before we start discussing the purpose of the call?
Introduction, KYC, and KYB
Establishing Trust, KYC, and eSign
Establishing Trust, Authentication, and Disclosure
Authentication, Disclosure, and eSign
How many Disclosures do we have for a typical account opening?
1 - Recorded call only
2 - Recorded call and eSign
3 - Recorded Call, eSign, and Access Card
4 - Recorded Call, eSign, Access Card, and Fees
During Authentication, how much % of a variance can we accept within their answer?
15%
20%
25%
30%
During Authentication without OTP, how many correct answers must the client answer out of the 3 questions?
1
2
3
During Authentication - if customer only confirms 1 account out of the 3 they have is this a pass or fail?
PASS
FAIL
Inbound Authentication - What are the first 2 items we must check before proceeding with client
Clients home address and cell number
Transferring Agents name and login
Transferring Agents name and what type of high risk authentication
What type of High risk authentication and Clients name
What are the best practices for preparing for your appointment?
Check MCOM/ MCID
Review appointment notes
Review business / personal profile
Have resources ready and list of items/questions
all of the above
Which Entity cannot have an additional Trade name?
Sole proprietor
Partnership
Corporation
Unincorporated Associations
None of the above
Statement for bank accounts are always initially set to....
"N" - no statement
"E"- Estatement only
"S" - Paper statement
"C" Canada Post
If we have a partnership between Mickey and Minnie and they registered a trade name "M&Ms Shoe Store" what is that partnerships legal name?
Mickey Mouse and Minnie Mouse
M&Ms Shoe Store
Mickey and Minnie
What address we must use for a corporation that only provides Articles of Incorporation?
Any address customer prefers
Address on personal profile
Legal address on Articles
Mailing Address on Articles
