Regulations & Conduct第 116 / 125 题
A Suspicious Activity Report (SAR) is filed by a firm when:
a.A customer earns a large profit
b.A transaction appears to involve possible money laundering or has no apparent lawful purpose
c.A customer opens a retirement account
d.A dividend is paid
解析
Firms must file a Suspicious Activity Report when they detect transactions that appear to involve funds from illegal activity, are designed to evade reporting requirements, or have no apparent business or lawful purpose. Firms generally may not notify the customer that a SAR has been filed (no tipping off).
法律依据: Bank Secrecy Act免费刷完整 125 道题库 — 无需注册。
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