ACAMS
CAMS · Question #511
CAMS Question #511: Real Exam Question with Answer & Explanation
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Question
A new customer has just been onboarded in a securities firm. After a few weeks, there are unusual trading patterns that are being flagged. Which pattern is most concerning to the compliance officer?
Options
- AThe customer engages in large trading in securities that are liquid or highly priced from the
- BThe customer's repeated trading in securities that are low priced and low volume counters.
- CThe customer receives many incoming wire transfers from related parties to the trading account.
- DThe customer accumulates securities of a low volume counter in small increments on a weekly
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