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Investment firm licensees'G risk-based monitoring systems should therefore be configured to help identify:

(a) Transactions which do not appear to have a clear purpose or which make no obvious economic sense;
(b) Significant or large transactions not consistent with the normal or expected behaviour of a customer; and
(c) Unusual patterns of activity (relative to other customers of the same profile or of similar types of transactions, for instance because of differences in terms of volumes, transaction type, or flows to or from certain countries), or activity outside the expected or regular pattern of a customer's account activity.
Amended: January 2007
(2 Versions)
Up to Jun 30 2007Jul 1 2007 onwards
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