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Browse: Home / 2015 / February / 26 / SEC Enforcement Chief: Reporting Suspicious Activity ‘Not Optional’ for BDs — ThinkAdvisor

SEC Enforcement Chief: Reporting Suspicious Activity ‘Not Optional’ for BDs — ThinkAdvisor

By Securities Docket on February 26, 2015, 9:09 am

Securities and Exchange Commission Enforcement Chief Andrew Ceresney told broker-dealers Wednesday that compliance with the Bank Secrecy Act “is not optional,” and that a BD’s failure to file a required suspicious activity report (SAR) “is, by itself, a basis for enforcement action.”

via SEC Enforcement Chief: Reporting Suspicious Activity ‘Not Optional’ for BDs — ThinkAdvisor

Posted in SEC, Top | Tagged Bank Secrecy Act, Broker-dealers

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