Trading Records Review
| Tracking # |
2024-OF-00084 2024-FOIA-00522 2024-OF-00084 2024-FOIA-00522 |
| Submitted | June 3, 2024 |
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Communications
From: Alan
To Whom It May Concern:
Pursuant to the Freedom of Information Act, I hereby request the following records:
OFAC records related to SEC trading review dated May 15, 2002, including any records related to Sept. 11, 2001 securities trading reviews for suspicious activity :
SAR review issue 5 dated Feb 2003 notes:
Page 38:
FinCEN's staff conducted an analysis of
all SARs submitted by depository institutions, affiliates of depository institutions,
and those voluntarily filed by broker-dealers, MSBs or gaming businesses from
the years 1996 through 2002. These SARs were identified by searching the
narrative section for key words related to the securities industry (e.g., investment
companies, mutual funds, hedge funds, private investment trusts, venture capital
funds, investment advisers). This analysis was not conducted to assess the money
laundering risks associated with securities sector; rather, it was done to provide a
snapshot of what SAR filers were reporting related to the securities industry.
Page 41:
• Five SARs were filed relating to September 11th activity and the OFAC
list of "specially designated global terrorists" — organizations and
individuals engaged in international terrorism. Two SARs identified
activity of investment companies on the OFAC list. Three SARs described
activity of individuals or entities on the OFAC list that included
transactions involving investment companies.
https://www.fincen.gov/sites/default/files/sar_report/sar_tti_05.pdf
The requested documents will be made available to the general public, and this request is not being made for commercial purposes.
In the event that there are fees, I would be grateful if you would inform me of the total charges in advance of fulfilling my request. I would prefer the request filled electronically, by e-mail attachment if available or CD-ROM if not.
Thank you in advance for your anticipated cooperation in this matter. I look forward to receiving your response to this request within 20 business days, as the statute requires.
Sincerely,
Alan
From: Department of Treasury, Office of Foreign Asset Control
Dear Alan Alan,
Case Number 2024-FOIA-00522 has been assigned to the request you submitted. In all future correspondence regarding this request please reference case number 2024-FOIA-00522.
Regards,
Department of Treasury
From: Department of Treasury, Office of Foreign Asset Control
Dear Alan Alan,
The status of your DO FOIA request #2024-FOIA-00522 has been updated to the following status 'Received'. To log into the Treasury FOIA Public Access Link click on the Application URL below.
Sincerely,
Department of Treasury
From: Department of Treasury, Office of Foreign Asset Control
RE: Your FOIA Request to Treasury, Case Number 2024-FOIA-00522 Dear Alan : This email acknowledges the receipt of your FOIA request dated 06/04/2024 seeking copies of the following records: To Whom It May Concern:Pursuant to the Freedom of Information Act, I hereby request the following records:OFAC records related to SEC trading review dated May 15, 2002, including any records related to Sept. 11, 2001 securities trading reviews for suspicious activity :SAR review issue 5 dated Feb 2003 notes:Page 38:FinCEN's staff conducted an analysis ofall SARs submitted by depository institutions, affiliates of depository institutions,and those voluntarily filed by broker-dealers, MSBs or gaming businesses fromthe years 1996 through 2002. These SARs were identified by searching thenarrative section for key words related to the securities industry (e.g., investmentcompanies, mutual funds, hedge funds, private investment trusts, venture capitalfunds, investment advisers). This analysis was not conducted to assess the moneylaundering risks associated with securities sector; rather, it was done to provide asnapshot of what SAR filers were reporting related to the securities industry.Page 41:• Five SARs were filed relating to September 11th activity and the OFAClist of "specially designated global terrorists" — organizations andindividuals engaged in international terrorism. Two SARs identifiedactivity of investment companies on the OFAC list. Three SARs describedactivity of individuals or entities on the OFAC list that includedtransactions involving investment companies.https://www.fincen.gov/sites/default/files/sar_report/sar_tti_05.pdfThe requested documents will be made available to the general public, and this request is not being made for commercial purposes.In the event that there are fees, I would be grateful if you would inform me of the total charges in advance of fulfilling my request. I would prefer the request filled electronically, by e-mail attachment if available or CD-ROM if not.Thank you in advance for your anticipated cooperation in this matter. I look forward to receiving your response to this request within 20 business days, as the statute requires.Sincerely,AlanUpload documents directly: https://www.muckrock.com/ (Date Range for Record Search: From 01/01/2013 To 06/04/2024) This request has been issued tracking number 2024-FOIA-00522 . Please reference this number in all future correspondence with this office when communicating regarding this request. Please see the attached letter for more information. Sincerely, ReNay Mitchell FOIA and Transparency ffice of Privacy, Transparency, and Records
From: Department of Treasury, Office of Foreign Asset Control
Dear Alan,
RE: FOIA No.: 2024-OF-00084
This concerns your June 4, 2024, Freedom of Information Act (FOIA) to the Department of Treasury (Treasury). Treasury referred this matter to its Office of Foreign Assets Control (OFAC) for processing on June 4,2024.
We would like to discuss the details of your request. Please provide your periods of availability for next week, to further discuss your request with us via telephonic conference. Thank you.
Sincerely,
OFAC FOIA
Confidentiality Notice: This email may contain privileged, confidential and or law enforcement sensitive information which is exempt from disclosure under applicable law. If you have received this communication in error, you are hereby notified that any dissemination, distribution or copying of the communication is strictly prohibited. If you have received this communication in error, please notify the sender.
From: Muckrock Staff
To Whom It May Concern:
I wanted to follow up on the following Freedom of Information Act request, copied below, and originally submitted on June 4, 2024. Please let me know when I can expect to receive a response. You had assigned it reference number #2024-FOIA-00522.
Thanks for your help, and let me know if further clarification is needed.
From: Department of Treasury, Office of Foreign Asset Control
Dear Alan,
RE: FOIA No.: 2024-OF-00084
This concerns your June 4, 2024, Freedom of Information Act (FOIA) to the Department of Treasury (Treasury). Treasury referred this matter to its Office of Foreign Assets Control (OFAC) for processing on June 4,2024.
We would like to discuss the details of your request. Please provide your periods of availability for next week, to further discuss your request with us via telephonic conference. Thank you.
Sincerely,
OFAC FOIA
Confidentiality Notice: This email may contain privileged, confidential and or law enforcement sensitive information which is exempt from disclosure under applicable law. If you have received this communication in error, you are hereby notified that any dissemination, distribution or copying of the communication is strictly prohibited. If you have received this communication in error, please notify the sender.
From: Department of Treasury, Office of Foreign Asset Control
Dear Alan,
RE: FOIA No.: 2024-OF-00084
This is our third attempt to schedule a meeting to discuss your request FOIA No. 2024-OF-00084 submitted to the Department of the Treasury.
Would you be available on Wednesday, September 25, 2024 or Thursday September 26, 2024, to discuss this request with us? If these dates are inconvenient, could you provide us with your availability this week? Once a date/time have been confirmed a conference number will be provided.
Please note, if we do not receive communication from you by September 26, 2024, we will administratively close your request without any further communication.
From: Alan
Would it be possible to schedule for the morning of October 3rd?
Thank you,
Alan
From: Muckrock Staff
To Whom It May Concern:
I wanted to follow up on the following Freedom of Information Act request, copied below, and originally submitted on June 4, 2024. Please let me know when I can expect to receive a response. You had assigned it reference number #2024-FOIA-00522.
Thanks for your help, and let me know if further clarification is needed.
From: Department of Treasury, Office of Foreign Asset Control
Dear. Mr. Alan
RE: FOIA No.: 2024-OF-00084
As indicated in the below email string your June 4, 2024 request, was assigned to the Office of Foreign Assets Control (OFAC) and re-assigned to FOIA No. 2024-OF-00084.
Please be advised that after multiple failed attempts in contacting you to discuss the description you provided for records, your request was administratively closed on September 27, 2024. Please see the attached email.
You may resubmit your request. For more information regarding how to submit a proper FOIA request, please visit Freedom of Information Act | U.S. Department of the Treasury<https://home.treasury.gov/footer/freedom-of-information-act>.
If you have any questions regarding this matter, you may contact us at our FOIA Requester Service Center via email to: OFACFOIAOffice@treasury.gov<mailto:OFACFOIAOffice@treasury.gov> or by telephone to: 202-622-2500, option 3. Please reference your FOIA No. 2024-OF-00084 in any future communications.
Regards,
OFAC FOIA Office
Contact Information:
Information Disclosure and Records Management Division
Office of Sanctions Support and Operations
Office of Foreign Assets Control
Department of the Treasury
FOIA Requester Service Center
(202) 622-2500, option 3
F: (202) 622-1657
OFACFOIAOffice@treasury.gov<mailto:OFACFOIAOffice@treasury.gov>
Confidentiality Notice:
This email may contain privileged, confidential and or law enforcement sensitive information which is exempt from disclosure under applicable law. If you have received this communication in error, you are hereby notified that any dissemination, distribution or copying of the communication is strictly prohibited. If you have received this communication in error, please notify the sender.
From: Department of Treasury, Office of Foreign Asset Control
Dear Alan,
Thank you for your email dated October 28, 2024. As it concerns 2024-FOIA-00522, please be advised that your case is in our complex queue. Unfortunately, we are unable, at this time, to provide you with a date certain when we can provide our next response to you. We appreciate your patience as we work through our queue. If you have any questions regarding this matter, you may email or contact the FOIA Requester Service Center at 202-622-2500, option 3. Please reference your FOIA No. 2024-FOIA-00522 in any future communications.
Regards,
OFAC FOIA Office
Information Disclosure and Records Management Division
Office of Sanctions Support and Operations
Office of Foreign Assets Control
Department of the Treasury
FOIA Requester Service Center
(202) 622-2500, option 3
Confidentiality Notice:
This email may contain privileged, confidential and or law enforcement sensitive information which is exempt from disclosure under applicable law. If you have received this communication in error, you are hereby notified that any dissemination, distribution or copying of the communication is strictly prohibited. If you have received this communication in error, please notify the sender.
From: Muckrock Staff
To Whom It May Concern:
I wanted to follow up on the following Freedom of Information Act request, copied below, and originally submitted on June 4, 2024. Please let me know when I can expect to receive a response. You had assigned it reference number #2024-FOIA-00522.
Thanks for your help, and let me know if further clarification is needed.
From: Muckrock Staff
To Whom It May Concern:
I wanted to follow up on the following Freedom of Information Act request, copied below, and originally submitted on June 4, 2024. Please let me know when I can expect to receive a response. You had assigned it reference number #2024-FOIA-00522.
Thanks for your help, and let me know if further clarification is needed.
From: Department of Treasury, Office of Foreign Asset Control
Dear Alan,
FOIA No.: 2024-OF-00084
We attempted to schedule a meeting three times to no avail. Since we did not receive communication from you, we administratively closed your request without any further communication.
If you are still interested in the FOIA Request, please re-submit your request to our office.
Regards,
OFAC FOIA Office
Information Disclosure and Records Management Division
Office of Sanctions Support and Operations
Office of Foreign Assets Control
Department of the Treasury
FOIA Requester Service Center
(202) 622-2500, option 3
Confidentiality Notice:
This email may contain privileged, confidential and or law enforcement sensitive information which is exempt from disclosure under applicable law. If you have received this communication in error, you are hereby notified that any dissemination, distribution or copying of the communication is strictly prohibited. If you have received this communication in error, please notify the sender.
