BSA-AML Examiner School Case Study eBook

Internal Use Only #

314(a)

Names of Contacts for the bank (who receives the FinCEN emails)

Email Addresses

Sample: [INSERT DATE RANGE] ([INSERT SAMPLE NUMBER])

A bank will typically have up to four people listed as contacts for 314(a) transmissions.

Date of Clearance (14 days - which includes date transmitted)

Date of Screen

Matches (Y/N)

Comments

Insert Overall Comments

Insert Overall Comments

314(b) Sample: [INSERT DATE RANGE] ([INSERT SAMPLE NUMBER]) Date of Communication Documentation (Y/N)

Compliance with 314(b) (Y/N)

Comments

Insert Overall Comments