Proceeds of Crime (Money Laundering) and Terrorist Financing Regulations

64.2 Every person or entity that is required under these Regulations to ascertain a person’s identity in connection with a record that the person or entity has created and is required to keep under these Regulations — or in connection with a transaction that they have carried out and in respect of which they are required to keep a record under these Regulations or under section 12.1 of the Proceeds of Crime (Money Laundering) and Terrorist Financing Suspicious Transaction Reporting Regulations — shall set out in, or include with, that record the person’s name and the following information:

• (a) if the person or entity ascertained the person’s identity in accordance with paragraph 64(1)(a), the date on which they did so, the type of document referred to, its number, the jurisdiction and country of issue of the document and, if applicable, its expiry date;

• (b) if the person or entity ascertained the person’s identity in accordance with paragraph 64(1)(b), the date on which they did so, the source of the information, the type of information referred to and a number associated with the information;

• (c) if the person or entity ascertained the person’s identity in accordance with paragraph 64(1)(c), the date on which they did so, the source of the information and the number of the person’s credit file;

• (d) if the person or entity ascertained the person’s identity in accordance with paragraph 64(1)(d), the date on which they did so, the source of the information, the type of information referred to and the account number included in it — or if there is no account number included in it, a number associated with the information;

• (e) if the entity ascertained the person’s identity in accordance with paragraph 64(1)(e), the date on which it did so, the name of the entity that had previously ascertained that person’s identity, the manner in which it had previously ascertained the person’s identity under one of paragraphs 64(1)(a) to (d) and the applicable information referred to in one of paragraphs (a) to (d) of this section that is associated with that manner of ascertaining identity;

• (f) if the entity ascertained the person’s identity in accordance with paragraph 64(1)(e) and the other entity had previously ascertained the person’s identity before the coming into force of this section, the date on which the entity ascertained the person’s identity in accordance with paragraph 64(1)(e), the name of the other entity, the manner in which the other entity had previously ascertained the person’s identity under subsection 64(1) or (1.1), as it read at the time the other entity ascertained the person’s identity, and the applicable information referred to in one of paragraphs 67(a) to (k), as it read at the time the other entity ascertained the person’s identity; or

• (g) if, under subsection 64(1.5), the person or entity is deemed to have complied with subsection 64(1), the reasons why the person’s identity could not be ascertained in the manner set out in one of paragraphs 64(1)(a) to (e) and the date on which the conditions set out in subsection 4(1) or (2) of the Access to Basic Banking Services Regulations were met.