QUESTION 6. A customer opens a corporate account with a broker-dealer on behalf of several

QUESTION 6 A customer opens a corporate account with a broker-dealer on behalf of several beneficial owners, with a stated long-term investment goal. The customer deposits $25.5 million into the account and three days later transfers $5 million to an overseas bank. Shortly thereafter, the customer begins making numerous purchases of pesos. The compliance officer receives a query regarding the movement of funds. Within a month of account opening, the customer depletes the account. Which two red flags should prompt the firm's compliance officer to take action? (Choose two.) A. The new a..........

원문링크 : QUESTION 6. A customer opens a corporate account with a broker-dealer on behalf of several