BSA/AML Examiner School - Case Study Oct 2023

LCB 12/15

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

Yes No

N/A

• Records prepared or received by a financial institution in the ordinary course of business which would be needed to reconstruct a demand deposit account and to trace a check in excess of $100 deposited in such

demand deposit account? 31 CFR 1020.410(b)(10)

y

• A record containing the name, address, and taxpayer identification number, if available, of any person presenting a certificate of deposit for payment, as well as a description of the instrument and the date of the transaction? 31 CFR 1020.410(b)(12) • Each deposit slip or credit ticket reflecting a transaction in excess of $100 or the equivalent record for direct deposit or other wire transfer deposit transactions and recording the amount of any currency involved? 31 CFR 1020.410(b)(13)

Y

Y

Comments: All applicable documentation was presented and reviewed.

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