OFAC: A Compliance Priority
JOAN L. LAVELL
(President of J. Lavell & Associates, Inc. in Boulder, CO, and author of Written Supervisory Procedures, an electronic compliance manual for broker‐dealers.)
268
Abstract
This is a “how‐to” guide for compliance professionals with regard to money laundering issues. It's a must‐read for all broker‐dealer attorneys and compliance analysts who want to know what's required of broker‐dealers by the Office of Foreign Assets Control (OFAC) and what “red flags” to look out for.
Citation
LAVELL, J.L. (2002), "OFAC: A Compliance Priority", Journal of Investment Compliance, Vol. 2 No. 3, pp. 17-23. https://doi.org/10.1108/eb045913
Publisher
:MCB UP Ltd
Copyright © 2002, MCB UP Limited