BSA/AML Examiner School - Case Study Oct 2023

Exhibit 3 - Wire Transfer Worksheet

Travel

Deficiency/Comments

Oil

Amount

Beneficiary

Date

Originator

RuleOFAC Folowed N/A

10/1/2015 1011/2015 10/8/2015 11/18/2015 9/9/2015 9/18/2015 9/22/2015 10/29/2015 10/30/2015 11/2/2015 11/6/2015 11/9/2015 11/13/2015 11/20/2015

Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes

I I

$58,573.90 $31,400.00 $56,500.00 $240,000.00 $50,000.00 $97,443.61 $50,000.00 $68,900.00 $35.000.00 $496,000.00 $249,000.00 $4,696.00 $500,000.00 $31,571.01

N/A N/A N/A Yes Yes Yes Yes Yes Yes Yes Yes Yes Yes

1

I

OFAC not released

0 0 0 0 0 0 0 0 0 0

International - Canada

8 9