BSA-AML Examiner School Case Study eBook

Internal Use Only #

Enhanced Due Diligence (EDD) - Risk Based (recommend items below if not included in review)

Sample: [INSERT DATE RANGE] ([INSERT SAMPLE NUMBER OF MODERATE RISK OR HIGH RISK ACCOUNTS TESTED])

SAR filings (nonfilings) within last 24 Months (Y/N)

CTR filings within the last 24 Months (Y/N)

Periodic Review Completed (Y/N)

Risk Rating (Moderate or High)

Method of High Risk Identification

Occupation or Type of Business

Purpose of Account (Y/N)

Is the periodic review sufficient (Y/N)

Nature of Business

Domestic or International

Wires/ACH/RDC Considered

Legal Name

Date opened

Comments

Branch #

[Insert Overall Comments]