BSA/AML Examiner School - Case Study Oct 2023

LCB12/15

Checklist 3.1: BSA Compliance Program General Requirements (cont.)

Yes No

N/A

• A list of each individual, including the name, address, and account number, who holds a deposit account for which the financial institution has been unable to secure a taxpayer identification number after making a reasonable effort to obtain the number? 31 CFR 1020.410(b)(1)(ii) • Each document granting signature authority over each deposit account? 31 CFR 1020.410(b)(1) • Each statement, ledger card, or other record of each deposit account showing each transaction involving the account, excepting those items listed in 31 CFR 1020.410(b)(3)? 31 CFR 1020.410(b)(2)-(4) • Each document relating to a transaction of more than $10,000 remitted or transferred to a person, account, or place outside the United States? 31 CFR 1020.410(b)(5)&(6) • Each check or draft in an amount in excess of $10,000 drawn on or issued by a foreign bank, which the domestic institution has paid or presented to a nonbank drawee for payment? 31 CFR 1020.410(b)(7) • Each item relating to any transaction of more than $10,000 received on any one occasion directly and not through a domestic financial institution, from a bank, broker, or dealer in foreign exchange outside the United States? 31 CFR 1020.410(b)(8)&(9)

y

Y

Y

NA

NA

NA

2 1