BSA/AML Examiner School - Case Study Oct 2023

Exhibit CIP Worksheet

Date Opened

Account Number

Acct Type Name Add 008 SSN

Occupation! Business

OFAC Check Prime ID Second ID

Risk/COD

Comments

Account Name

Ins Card

Not Documented Low/Yes

xxx3901 ODA

x

x

x

x

no KY DL

9/3/2015

KY Inst Permit

Logger

LowNes

Ins Card LC High Diploma WV Nursing

x

x

x

no

xxx3950 DDA

x

9/11/2015

Low/Yes

Cashier

x

no KY DL

x

x

x

RN

Address discrepancy verified

NIF NIF

xxx3992 DDA xxx4024 DDA

x x

no WV DL no KY DL

9/24/2015 9/24/2015

x x

x x

x x

Debit Card BankLoanOfficer

KY Motor Vehicle Comission License

Used Car Dealership

EIN Letter Ins Card Ins Card

HighNes Signers verified

xioQ525 DDA Kio(5513 SAV roc5615 SAV ax4081 ODA mcx4149 ODA

9/24/2015 9/16/2015 9/24/2015 10/2/2015 10/14/2015

x x x x

x x x x x

na

x x x x x

no

x x x x

no KY DL no KY DL no KY DL no FL DL

Not Documented Low/Yes Not Documented Low/Yes

Debit Card Retired -ARC

Low/Yes Med/Yes

Military ID

Retired

x

Cannot read issue or expiration date on copy Cannot read issue or expiration date on copy

Housewife

no KY DL

Debit Card

LowNes

10/19/2015

=4198

DDA

x

x

x

x

LowNes

Debit Card

x x x x

x x x x

x x x x

x x x x

no KY DL no KY DL no KY DL no WV DL

LDger

10/19/2015

xxx4214 DDA

Debit Card Not Documented Debit Card Not Documented

NIF NIF NIF

Ins Card

10/23/2015

xxx4248 ODA

Not Documented

KY Inst Permit

Cannot read Issue or expiration date on copy CIP form had state DL and credit card checked but issues/explralion dates were not documented or copies included in the file.

Low/Yes

10/26/2015

xxx4263 DDA

a

a

x

x

no

Debit Card

Student

NIF

10/30/2015

xxx5763 SAV

NIF

Homemaker Retired - Manual Labor Prior Restaurant Worker Not Documented

x

x

x

x

no NIF

11/3/2015

Low/Yes

m0(4289 DDA

x

x

x

x

no WV DL

SS Card

11/7/2015 11/12/2015

Low/Yes Address discrepancy verified

xxx4321 DDA xxx4339 ODA

x a

x x

x x

x x

no KY ID no WV DL

SS Card SS Card Medicare Card Ins Card

NIF

11/9/2015 9/14/2015 9/18/2015 10/7/2015

Not Documented Low/Yes

x x x x

x x x x

x x x x

no KY DL yes KY DL yes KY DL yes KY DL

xxx5797 SAV

x

NA NA NA

Not Documented

moc8500 xeccli 00 )00:2500

LN LN LN

x x x

Debit Card Not Documented Debit Card Not Documented

OH Articles of SOS

10/16/2015 1 1 / 1 0/2015 11/17/2015

Not Documented

Signers verified

NA NA NA

3=4500 xx3c7300 moc7800

LN LN- LN

x x x

x x x

x x x

x a x

yes

yes WV DL yes WV DL

WV Voters Not Documented WV TWIG Not Documented .

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