BSA/AML Examiner School - Case Study Oct 2023

LCB 12/15

Checklist 10.3: Funds Transfer Recordkeeping (cont.)

As Ori&natine or Intermediary Institution

1 2 3

For each transmittal order of $3,000 or more, does the institution include in the transmittal order: • The name and, if the payment is ordered from an account, the account number of the transmittor? 31 CFR 1010.410(f)(1)(i)

y y Y

Y Y Y

• The address of the transmittor, except non-expanded Fed Wire? 31 CFR 1010.410(f)(1)(ii)

Y Y Y

• The amount of the transmittal order? 31 CFR 1010.410(f)(1)(iii)

The execution date of the transmittal order? 31 CFR 1010.410(f)(1)(iv)

•

Y Y

Y

Y Y Y

• The identity of the recipient's financial institution? 31 CFR 1010.410(f)(1)(v)

Y Y Y

• As many of the following items as are received with the transmittal order: name and address of the recipient; account number of the recipient; any other specific identifier of the recipient (only one item if using non-expanded FedWire format)? 31 CFR 1010.410(f)(1)(vi) • Either the name and address or numerical identifier of the transmittor's institution? 31 CFR 1010.410(f)(1)(vii)

Y Y Y

Comments: No issues were identified.