ACAMS
CAMS · Question #115
CAMS Question #115: Real Exam Question with Answer & Explanation
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Question
Which factor should a bank consider before sharing information about a customer with its broker- dealer affiliate in the case of an investigation?
Options
- AWhether the broker-dealer affiliate can rely on the due diligence done by the bank
- BWhether there is a mutual legal assistance treaty in place between the two institutions
- CWhether privacy and data protection rules permit the bank to share the information with the
- DWhether both institutions have an account or are in the process of opening an account for the
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