31 C.F.R. § 19.355 – What information must I provide to a higher tier participant before entering into a covered transaction with that participant? | Midpage
§ 19.355
31 C.F.R. § 19.355
What information must I provide to a higher tier participant before entering into a covered transaction with that participant?
Effective Dec 30, 2016
Before you enter into a covered transaction with a person at the next higher tier, you as a lower tier participant must notify that person if you know that you or any of the principals are presently excluded or disqualified.