What are we required to do to eliminate money laundering?
Under the USA PATRIOT Act, our anti-money laundering program must designate a special compliance officer, set up employee training, conduct independent audits, and establish policies and procedures to detect and report suspicious transactions and ensure compliance with the new laws. As part of our required program, we may ask you to provide various identification documents or other information. Until you provide the information or documents we need, we may not be able to open an account or effect any transactions for you. We thank you for your patience and hope that you will support us in our efforts to deny terrorist groups access to America’s financial system. FIRM COMPENSATION HCI seeks to earn revenue from customer transactions and Investment Banking activites. HCI follows regulatory requirements concerning any fees charged to you and in reporting transaction fees to you. PAYMENT FOR ORDER FLOW The Securities and Exchange Commission (“SEC”) requires each brokerage firm to disclose
