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Anti-Money Laundering (AML) Source Tool URL: http://www.sec.gov/about/offices/ocie/amlsourcetool.htm Description: "This research guide, or 'source tool,' is a compilation of key [anti-money laundering] AML laws, rules, and guidance applicable to broker-dealers." Topics addressed include the Bank Secrecy Act, the USA PATRIOT Act, compliance and customer identification programs, suspicious activity monitoring and reporting, due diligence programs for foreign correspondent accounts, and other areas of concern for securities firms and financial institutions. From the U.S. Securities and Exchange Commission (SEC). LII Topics: Money, Money Laundering Publisher: U.S. Securities and Exchange Commission (SEC) LII Database Information: Record 25697 created by Jennifer English on 03/13/2008 Last modification on 03/17/2008 Published: 03/19/2008 Funding agency: California State Library LII Item ID: http://lii.org/cs/lii/view/item/25697 |
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