BSA/AML Examiner School - Case Study Oct 2023

LCB 12115

CHECKLIST INDEX KEY: ✓ = Applicable x = Not Applicable (N/A)

Internal Control Checklists  Internal Controls Checklist 3.1: BSA Compliance Program General Requirements x Internal Controls Checklist 3.2: Consolidated BSA Compliance Program General Requirements  Internal Controls Checklist 4.1: CIP Policy Review

 Internal Controls Checklist 5.1: Customer Due Diligence  Internal Controls Checklist 6.1: Suspicious Activity Report  Internal Controls Checklist 7.1: Currency Transaction Reporting

 Internal Controls Checklist 7.2: Reviewing CTRs  Internal Controls Checklist 8.1: Information Sharing  Internal Controls Checklist 9.1: Purchase and Sale of Monetary Instruments  Internal Controls Checklist 10.1: Funds Transfers  Internal Controls Checklist 10.2: Automated Clearing House Transactions x Internal Controls Checklist 11.1: Foreign Correspondent Account Recordkeeping and Due Diligence x Internal Controls Checklist 11.2: Dollar Drafts • Internal Controls Checklist 11.3: Payable-Through Accounts • Internal Controls Checklist 11.7: Private Banking Activity (non-U.S. Persons)  Internal Controls Checklist 11.8: Nonresident Aliens and Foreign Individuals x Internal Controls Checklist 11.9: Politically Exposed Persons • Internal Controls Checklist 11.10: Embassy and Foreign Consulate Accounts x Internal Controls Checklist 12.1: Foreign Bank and Financial Accounts Reporting x Internal Controls Checklist 12.3: International Transportation of Currency or Monetary • Instruments Reporting x Internal Controls Checklist 12.5: Bulk Currency Shipments  Internal Controls Checklist 13.1: OFAC Review Procedures x Internal Controls Checklist 14.1: Special Measures  Internal Controls Checklist 15.1: Correspondent Accounts (Domestic) Activities • Internal Controls Checklist 16.1: Foreign Branches arid Offices of U.S. Financial Institutions  Internal Controls Checklist 17.1: Electronic Banking x Internal Controls Checklist 17.2: Third-Party Payment Processors x Internal Controls Checklist 17.3: Electronic Cash  Internal Controls Checklist 18.1: Brokered Deposits x Internal Controls Checklist 18.2: Privately-Owned Automated Teller Machines x Internal Controls Checklist 18.3: Non-deposit Investment Products • Internal Controls Checklist 18.4: Insurance • Internal Controls Checklist 19.1: Concentration Accounts • Internal Controls Checklist 20.1: Lending  Internal Controls Checklist 21.1: Trust and Asset Management Services x Internal Controls Checklist 11.4: Pouch Activity x Internal Controls Checklist 11.5: Trade Finance x Internal Controls Checklist 11.6: Parallel Banking Activity

 Internal Controls Checklist 22.1: Non-Bank Financial Institutions  Internal Controls Checklist 22.2: Professional Service Providers

 Internal Controls Checklist 22.3: Non-Governmental Organizations and Charities • Internal Controls Checklist 22.4: Corporate Entities (Domestic and Foreign)  Internal Controls Checklist 22.5: Cash-Intensive Businesses

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