Which document is typically used to verify the client's identity and regulatory information?

• A. KYC data
• B. Suitability assessment
• C. Signed acknowledgments
• D. Investment policy

Answer: (A)

Verifying a client's identity and regulatory information is done through KYC data. KYC data is collected during onboarding and includes identity documents, personal details, address, tax information, and regulatory flags to confirm who the client is and ensure they meet applicable regulatory requirements. This process supports anti-money laundering controls and ongoing due diligence.

The other options aren’t about identity verification: a suitability assessment checks whether an investment aligns with the client’s goals and risk tolerance; signed acknowledgments are confirmations of terms or disclosures; an investment policy outlines the client’s long-term objectives and constraints.