BSA-AML Examiner School Case Study eBook

Internal Use Only #

CUSTOMER DUE DILIGENCE (Risk Based - no set standard/review the banks program)

Business Accoumts - Entity need Type of Business

Risk Rating/Score (if the FI is risk rating at account opening)

Consumer Accounts - Occupation (Baseline)

Source of Funds (Y/N)

Auto-High Risk (Y/N)

Expected Activity (Y/N)

if a legal entity -Reg GG (Y/N)

Comments

Service Manager Sales ConstructionMechanicorMaintenanceWorker

Null Null Sales Rep Broker Agnt Null Null Personal care/service

[Insert Overall Comments]