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At least you should have in-house automation flagging potential SAR cases. Then have compliance staff review those and escalate the valid ones. We have a setup
by bostik 6y ago
At least you should have in-house automation flagging potential SAR cases. Then have compliance staff review those and escalate the valid ones.
We have a setup like that in place, and we're a gambling operation. A broker-dealer handling far larger sums of money really has no excuse.