§ 240.17i-4Internal risk management control system requirements for supervised investment bank holding companies.
(a) A supervised investment bank holding company shall comply with § 240.15c3-4 as though it were an OTC derivatives dealer with respect to all of its business activities, except paragraphs (c)(5)(xiii), (c)(5)(xiv), (d)(8), and (d)(9) will not apply; and
(b) As part of its internal risk management control system, a supervised investment bank holding company must establish, document, and maintain procedures for the detection and prevention of money laundering and terrorist financing.
[69 FR 34494, June 21, 2004]
Title 17 published on 2012-04-01
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