Money Laundering: Oversight of Suspicious Activity Reporting at Bank-Affiliated Broker-Dealers Ceased
Description:
A letter report issued by the General Accounting Office with an abstract that begins "GAO reviewed the Gramm-Leach-Bliley Act (GLBA) to determine how it might affect oversight to ensure the securities industry's compliance with anti-money laundering requirements. Specifically, GAO examined (1) how federal bank regulators were overseeing suspicious activity report (SAR) compliance for broker-dealers under their jurisdiction before and after GLBA and (2) what actions the Securities and Exchange C…
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Date:
March 22, 2001
Creator:
United States. General Accounting Office.
Item Type:
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Report
Partner:
UNT Libraries Government Documents Department