BSA-AML Examiner School Case Study eBook

Internal Use Only #

Beneficial Ownership (BO)

Sample: Legal entity customers selected from list of new accounts opened since May 11, 2018 [INSERT DATE RANGE] ([INSERT TOTAL NUMBER OF SAMPLE])

Designated Controller per certification form

Date of Certification

Regulatory Compliance (Y/N)(31 CFR 1010.230)

OFAC (Y/N)

Names of Owners > 25%

Controller identified "c'

*Address (Y/N)

Certification Form (Y/N)

Percentage *TIN (Y/N) *Date of Birth (Y/N)

Verification (Y/N)

Legal Entity Name Date Opened (after 5/11/2018)

Comments

Branch #

form (needs to be date opened)

[Insert Overall Comments]