suspicious activity monitoring
Transaction Monitoring By Tookitaki, A Thunes Firm As the legislation requires, monetary establishments must report suspicious exercise to the relevant regulatory authorities. It includes identifying and verifying customer information, such as name, address, and identification paperwork. The SEA Rule 17a-3(a)(17) states that each one brokers-dealers should hold complete data of all securities trades. Customer identification like that is important for monitoring transactions and detecting suspicious exercise. It is necessary to notice that a transaction monitorin system isn't a perfect solution...