ACAMS
CAMS · Question #809
Which of the following are common indicators of possible money laundering within the securities industry? (Choose two.)
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Risks and Methods of Money Laundering and Terrorist Financing
Question
Which of the following are common indicators of possible money laundering within the securities industry? (Choose two.)
Options
- AUsing brokerage accounts like deposit accounts
- BReceiving securities into an existing brokerage account following the death of a spouse
- CAllowing fixed income securities to mature
- DEngaging in transactions involving nominees or third parties
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Topics
#securities industry#money laundering indicators#nominee accounts#brokerage accounts