BSA/AML Examiner School - Case Study Oct 2023

LCB12/15

Checklist 9.2: Purchase and Sale of Monetary Instruments (cont.)

1

2

3

If the purchaser does not have a deposit account with the institution, did the institution obtain the following: • Purchaser's date of birth? 31 CFR 1010.415(a)(2)(i)(C)

NA NA NA

NA NA NA

Date of purchase? 31 CFR 1010.415(a)(2)(i)(D)

•

• Type(s) of instrument(s) purchased? 31 CFR 1010.415(a)(2)(i)(E)

NA NA NA

• Serial number(s) of each of the instrument(s) purchased? 31 CFR 1010.415(a)(2)(i)(F)

NA NA NA

• Dollar amount(s) of each of the instrument(s)? 31 CFR 1010.415(a)(2)(i)(G)

NA NA NA

Method of verification of identity? 31 CFR 1010.415(a)(2)(ii)

NA NA NA

•

Comments.' No issues were identified.

7 6