CAMS Exam Dumps | A new customer has just been onboarded in a securities firm. After a few weeks, there are unusual trading

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Question 95/304

A new customer has just been onboarded in a securities firm. After a few weeks, there are unusual trading patterns that are being flagged. Which pattern is most concerning to the compliance officer?

A. The customer engages in large trading in securities that are liquid or highly priced from the trading account.

B. The customer's repeated trading in securities that are low priced and low volume counters.

C. The customer receives many incoming wire transfers from related parties to the trading account.

D. The customer accumulates securities of a low volume counter in small increments on a weekly basis.

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