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CAMS · Question #121

When an institution receives a document request from law enforcement with regard to an STR that the institution has filed, what should institution do?

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Conducting and Responding to Investigations

Question

When an institution receives a document request from law enforcement with regard to an STR that the institution has filed, what should institution do?

Options

  • AIt should turn over the documents that were previously collected to support the STR
  • BIt should request a written subpoena or court order before turning over any documents
  • CIt should have its outside counsel review the request and the documents before doing anything
  • DIt should politely decline to provide the requested documents until the law enforcement agency

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Topics

#STR filing#law enforcement cooperation#document requests#compliance procedures
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