Customer Identification Program


To help the government fight the funding of terrorism and money laundering activities, federal law requires StoneCastle to obtain, verify and record information that identifies each institution on whose behalf an account is being opened, including the following:

  • Full Name of the entity & affiliate
  • Business Address
  • Tax Identification Number
  • Business license and/or Organizational Agreements
  • List of Authorized Individuals who can act or trade on behalf of the entity

The company will also need to provide confirmation that the authorized traders acting on its behalf are exercising independent investment decision making when executing transactions on the firm’s behalf.