Securities Lawyer's Deskbook                          published by The University of Cincinnati College of Law

Rule 17i-4 -- Internal Risk Management Control System Requirements for Supervised Investment Bank Holding Companies.

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1. A supervised investment bank holding company shall comply with Rule 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



2. 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.

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