Disclosure

WHITEROCK WEALTH MANAGEMENT CO. CUSTOMER IDENTIFICATION PROGRAM CLIENT NOTIFICATION

(Updated March 22, 2024)

OVERVIEW:  In response to the September 11, 2001, terrorist attacks, Congress enacted the US PATRIOT Act (“Patriot Act”).  The Patriot Act defines rules WhiteRock Wealth Management Co. must adhere to in order to prohibit and actively prevent money laundering and ensure the Firm’s internal controls are reasonable to detect, deter and prevent violations.

REQUIREMENTS:  In order to comply with provisions of the US Patriot Act, WhiteRock Wealth Management Co. is required to:

1. Verify the identity of any person seeking to open an account;
2. Maintain records of the information used to verify a person’s identity; and
3. Determine whether the person appears on any lists of known or suspected terrorists or terrorist organizations.

PROCEDURES:  WhiteRock Wealth Management Co. has established a Customer Identification Program that contains procedures for identity identification, recordkeeping, comparison with government lists and providing customer notice.

1. New Account Form – Memorializes identifying information from the client. This Form must be completed in order to open the account.
2. Customer Verification – To verify the identity of the client, WhiteRock Wealth Management Co. must obtain a copy of an unexpired driver’s license or passport.
3. Comparison with Government Lists – To ensure the client does not appear on any list of known or suspect terrorist organizations.
4. Customer Notification – This Form serves to notify the client that WhiteRock Wealth Management Co. is requesting information to verify the identity of the client.