What is the most common type of suspicious activity reported on SARs that were filed with FinCEN?
Wire Transfer
Identity Theft
Securities/futures/options
Insider Trading
Under what circumstances may you share a client's personal information with an individual other than the account owner?
The individual provides the client's birth certificate.
The individual provides evidence that he is the client's attorney.
The individual provides a subpoena.
The individual is a beneficiary of the account.
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发表于 2018-4-8 23:50:47
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