| Summary: | 碩士 === 淡江大學 === 國際企業學系碩士在職專班 === 106 === This study aimed to the adjustment for business strategies and actual operations due to Money Laundering Control Act. With the literature review, this study took an securities firm as example and analyzed the securities firm by porter five forces analysis and SWOT analysis.
First, because securities industry has its own industry characteristics, securities industry may be used to launder money by fraudulent activities (such as insider trading, market manipulation, etc.). Securities industry was classified as a high-risk industry for money laundering.
Second, the company of case-study set a series of rules to avoid dummy accounts and control actual cash flow of clients. But it doesn’t work very well by legislative restrictions.
Finally, because of Money Laundering Control Act, the company of case-study takes the
following methods to make it work well: hiring professional consultant team, employee training, automated programming, forming a task force and enforcing the communication between group.
To summarize, this study will give suggestions and provide the suggestions for future related research.
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