...钱作为国家强调的工作,在对通过基金业进行洗钱的行为上,SEC与NASD都责无旁贷,比如分析可疑交易报告(suspicious activity reports),并确保各基金公司提交该报告的及时性和完整性;将会对馈赠(Gifting)作出明确的规定,因为在对各公司清查的过程中发现,许多公司并...
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在二○○四年,因为银行职员之 疏忽,未及时申报「可疑活动报告(Suspicious Activity Reports),以致违 反聯邦银行秘密法(Bank Secrecy Act)及相关之洗钱防制法令,导致该公 司被处以四千万美元的罚款并需负一千万美元的民...
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Authorities in some countries have struggled to cope with a deluge of so-called suspicious activity reports by Banks and other institutions.
一些国家的官方对银行和其它机构提交的大量所谓可疑活动的报告应接不暇。
"Generally, if Yahoo receives reports that an account has been compromised, we investigate for suspicious activity and take appropriate action," Benander said.
“一般来说,一旦雅虎收到报告说有账户被入侵,我们回立即调查可疑的活动并采取适当的行动”benander说。
Under usual practice, suspicious trading activity is reported to in-house compliance units, who investigate and decide whether to pass reports up to global compliance officers.
通常情况下,可疑交易活动将首先呈报内部合规部门,这些部门进行调查,决定是否将其上报给全球合规负责人。
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