BSA-AML Examiner School Case Study eBook

Internal Use Only #

Wire Transfer Activity for $3,000 or more - Since the last exam, review high dollar transfers and customers who frequently perform (does it make sense with their business purpose) Sample: [INSERT DATE RANGE] ([INSERT SAMPLE NUMBER]) *Sample trust department if applicable

*see manual for further details

*Travel Rule on outgoing funds transfers (review the transmittal letters (not handwritten wire forms))

Account #-if payment is ordered from an account (Y/N)

*Recipent/beneficiary Info (as much as provided is sent with the transmittal) (Y/N)

Name & address OR #ID of transmittors/orginat or FI (Y/N)

Address of transmittor/or ginator (Y/N)

Recipent/Beneficiary FI (Y/N) Required Info Gathered (Y/N)

Comments

Date

Legal Name

IAT/ Int'l Wire/Domestic

Incoming or Outgoing

Amount

Y

[Insert Overall Comments]