RegulationsCâu 66 / 110
When a firm files a Suspicious Activity Report on a customer's transactions, the firm:
a.Must not notify the customer that a SAR was filed
b.Must give the customer a copy within 10 business days
c.May notify the customer only with the customer's written consent
d.Must close the account immediately
Giải thích
Tipping off a customer about a SAR filing is prohibited because it would compromise any resulting investigation. SARs generally apply to suspicious transactions of $5,000 or more and are filed with FinCEN, typically within 30 days of detection. Filing does not automatically require closing the account, though the firm may choose to do so.
Trích dẫn luật: Bank Secrecy ActLuyện miễn phí toàn bộ 110 câu hỏi — không cần đăng ký.
Câu hỏi liên quan cùng chủ đề
- A retail communication concerning a registered investment company that includes fund performance generally must be filed with FINRA:
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