BSA/AML Examiner School - Case Study Oct 2023

LCB12115

Internal Controls Checklist 7.2: Reviewing CTRs

Number of Days Reviewed

Period Covered by Review

September 14 through 18 — 5 days

1

September 2015

2

October 2015

October 5 through 9 — 5 days

November 2 through 6 — 5 days

3

November 2015

N/A

Yes No

Was a CTR filed for each transaction or multiple transactions in excess of $10,000 in one day?

Y

Comments: No issues were identified.

4 0