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Regulatory Compliance
 
Subject: Ethical Conduct

The directors, officers and employees of Continental Express Money Order Co., Inc. (CEC) recognize that compliance is a key component of a successful business and an essential part of good business conduct.

CEC takes regulatory and compliance obligations seriously. As part of our compliance program, we have developed policies and procedures relating to the requirements imposed by a variety of statues in our operational jurisdictions. We also safeguard personal information in response to federal and jurisdiction requirements.

CEC’s code of ethics applies ethical standards for all directors, officers and employees. CEC is committed to enforce such standards and violation of these standards will be subject to disciplinary action.

 
Subject: Anti-Money Laundering Compliance

“Money Laundering” is the process of concealing or disguising the existence, nature or source of illegal funds in order to make them appear legitimate. The federal government has established several laws and regulations, including the Bank Secrecy Act and the USA Patriot Act, to help detect and prevent money laundering, terrorist financing and other crimes.

Continental Express Money Order Co., Inc.(CEC) has developed a comprehensive compliance program that is constantly updated to ensure compliance with government rules and regulations. The company does not want CEC’s money order services to be used in illegal money laundering or terrorist financing activities.

CEC also provides AML Compliance Training, Agent Training/Compliance program adoption documents, and links to government documents (Forms) such as CTR’s, SAR-MSBs and Money Services Businesses Registration. CEC’s Record Keeping Forms are also included.

Note: Please see Agent Login Tab above to Access to AML Compliance Training documents & Forms. To obtain login information, please contact the Compliance Department

 
Subject: Compliance Department

For Further Information please contact our compliance department at (714) 667-6613, (714) 667-6618 or (714) 667-6617

FAX Number: (714) 558-1283 or (888) 859-5202

 
Subject: Privacy Policy

The Gramm-Leach-Bliley Act also referred to as the Financial Modernization Act of 1999, includes a provision known as the Safeguards Rule that requires financial institutions to have a security plan to protect the confidentiality and integrity of personal, financial and non-public information. The Federal Trade Commission (FTC) is the federal agency that regulates the non-traditional financial institutions; therefore, the FTC is the federal regulator overseeing Continental Express Money Order Co., Inc.(CEC) with respect to the Act.

The generally Safeguard Rule applies to the handling of customer information by all financial institutions over which the FTC has jurisdiction and since CEC does not maintain a customer relationship as defined by the law, the Safeguard Rule, in general, does not apply to CEC. Nevertheless, CEC does obtain consumer information and therefore procedures designed to provide protection over the consumer non-public/personal information obtained and in its possession are being developed.


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