EFTA Document EFTA01454296
As a part of the PWM anti-money laundering monitoring program, the PRIME system is used to automatically identify transactions that meet certain high risk transaction patterns. When transactions occur which mimic those patterns, the activity must be researched to confirm that it is legitimate. In a small percentage of these cases, Compliance must contact the wealth Advisor for additional information about the transaction(s) in order to conclude the research process. Your response is requir
Summary
As a part of the PWM anti-money laundering monitoring program, the PRIME system is used to automatically identify transactions that meet certain high risk transaction patterns. When transactions occur which mimic those patterns, the activity must be researched to confirm that it is legitimate. In a small percentage of these cases, Compliance must contact the wealth Advisor for additional information about the transaction(s) in order to conclude the research process. Your response is requir
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