The Division of Examinations (“EXAMS”) conducts examinations of broker-dealers and mutual funds regarding their compliance with anti-money laundering (“AML”) requirements.  In sharing its observations from these examinations of broker-dealers, EXAMS seeks to remind firms of their obligations under AML rules and regulations and to assist broker-dealers in reviewing and enhancing their AML programs, in particular their monitoring for and reporting of suspicious activity to law enforcement and financial regulators.

View the Risk Alert: Compliance Issues Related to Suspicious Activity Monitoring and Reporting at Broker-Dealers