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"Blah...Blah...Blah.....SARs......Blah....Blah....Discovery......Blah...Blah!"
Yesterday 6:13 am
Blackvegetable » 5 minutes ago » wrote: ↑ You run an AML Dept.
Your employer is fined, and you will have a narrative attached to your publ8c FINRA profile if regulators conclude that your process failed to identify a series of "suspicious" transactions....
There is NO sanction in the event your SAR was mistakenly filed for a non criminal transaction.
As the dept manager are YOU going to try to determine whether a transaction is "criminal", or are you going to file SARs for ALL transactions which demonstrates the general characteristic of those considered reportable in your firm's WSP?
FINRA has NOTHING to do with COMMERCIAL BANKS, *******!! They regulate NOTHING with any commercial bank.
INVESTMENT banks, yes. Capital One is a COMMERCIAL BANK.
You just PROVED you are a **** IDIOT and don't know JACK ****!!
Chase me again!!
Liberals are spoiled children, miserable, unsatisfied, demanding, ill-disciplined, despotic & useless. Liberalism is a philosophy of sniveling brats ~O'Rourke
The Democratic Party seems intransigent on their position of keeping the party ‘woke,’ detached, exclusionary, and totally insane.
The Democratic Party seems intransigent on their position of keeping the party ‘woke,’ detached, exclusionary, and totally insane.