Trading Records Review
| Tracking # |
2024-FOIA-00522 |
| Submitted | June 3, 2024 |
| Due | July 2, 2024 |
| Est. Completion | None |
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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
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