BSA/AML Examiner School - Case Study Oct 2023

SISS Activity Report From: 1/6/2015 To: 1/19/2016

Financial Institution: AJ&RBank Institution Id: 96895 State: TN

Regulator: FDIC

Institution Activity:

Posting Date Email

Action Date

Type Action

6/10/2015 17:11:43 EDT 6/10/2015 17:11:43 EDT 6/10/2015 17:11:43 EDT 6/10/2015 17:11:51 EDT 6/10/2015 17:12:20 EDT 6/10/2015 17:12:20 EDT 6/10/2015 17:12:20 EDT 6/14/2015 00:00:00 EDT 6/29/2015 00:00:00 EDT 7/10/2015 00:00:00 EDT 7/21/2015 00:00:00 EST 8/6/2015 00:00:00 EST 8/23/2015 00:00:00 EST 9/10/2015 00:00:00 EST 9/23/2015 00:00:00 EST 10/10/2015 00:00:00 EST 10/23/2015 00:00:00 EST 11/11/2015 00:00:00 EST

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asmith@AJ&Rbank.com

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6/10/2015 asmith@AJ&Rbank.com 6/10/2015 asmith@AJ&Rbank.com 6/10/2015 asmith@AJ&Rbank.com 6/10/2015 asmith@AJ&Rbank.com 6/10/2015 asmith@AJ&Rbank.com 6/10/2015 asmith@AJ&Rbank.com 6/14/2015 asmith@AJ&Rbank.com 6/29/2015 asmith@AJ&Rbank.com 7/10/2015 asmith@AJ&Rbank.com 7/21/2015 asmith@AJ&Rbank.com 8/6/2015 asmith@AJ&Rbank.com 8/23/2015 asmith@AJ&Rbank.com 9/10/2015 asmith@AJ&Rbank.com 9/23/2015 asmith@AJ&Rbank.com 10/10/2015 asmith@AJ&Rbank.com 10/23/2015 asmith@AJ&Rbank.com 11/11/2015 asmith@AJ&Rbank.com

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Report printed at 16:43:25 Page 1 of 14 The enclosed information was collected and disseminated under provisions of the Bank Secrecy Act (the BSA) and U.S. Department of the Treasury regulations implementing the BSA. See 31 U.S.C. 5311, et seq.; 31 CFR Chapter X. The information is sensitive in nature and is to be treated accordingly. The information may be used only for a purpose consistent with a criminal, tax, or regulatory investigation or proceeding, or in the conduct of intelligence or counterintelligence activities, including analysis, to protect against international terrorism. See 31 U.S.C. 5311. The information cannot be further released, disseminated, disclosed, or transmitted without prior approval of the Director of Financial Crimes Enforcement Network or his authorized delegate. Suspicious activity reports filed under the BSA must be treated with particular care given that they contain unsubstantiated allegations of possible criminal activity, akin to confidential informant tips. Such reports, or the fact they have been filed, may not be disclosed by a government employee to any person involved in the transaction, "other than as necessary to fulfill the official duties of such officer or employee." 31 U.S.C. 5318 (g)(2)(ii). Unauthorized release of information collected under the BSA may result in criminal or civil sanctions.