Introductory BSA/AML Examiner School, Providence, RI

Bank Secrecy Act/Anti‐Money Laundering Examination Manual  Federal Financial Institutions Examination Council  2014 

1) At a minimum, examiners should use what four examination procedures to ensure that the bank has an adequate BSA/AML compliance program commensurate with its risk profile:

1. ____________________________________________________ 2. ____________________________________________________ 3. ____________________________________________________ 4. ____________________________________________________

2) Appendix ______ includes the links to all the regulatory reference websites and provides a list of manuals and handbooks relating to BSA/AML.

3) Page 142 is the start of the __________________________________ overview.

4) What page would you turn to if you wanted to know the Examination procedures for reviewing Customer Identification Program? _________ 5) Examination procedures for Remote Deposit Capturecan be found in this section of the manual? ____________________ 6) The FATF is the acronym for the international organization? __________________________ ______________________ 7) Describe one “Red Flag” for Privately Owned ATMs. ___________________________________________________________________________ ___________________________________________________________________________ 8) List one item asked for in the Entry Letter in the Currency Transaction Reporting Section. ___________________________________________________________________________ 9) What is the first step in reviewing Currency Transaction Reporting Exemptions? ___________________________________________________________________________ 10) The footnote regarding geographic location in the Risk Assessment section references what website to find Countries identified as supporting international terrorism under section 6(j) of the Export Administration Act of 1979? ________________________________