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Announcement

Compliance Issues Related to Suspicious Activity Monitoring and Reporting at Broker-Dealers

March 29, 2021

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

Last Reviewed or Updated: March 29, 2021