BSA/AML Examiner School Case Study

First page Table of contents Next page Last page
Case Study Introduction2
Exam Planning3
1a. BSA Request List3
1b. Pre-Exam Email & Prior Exam Comment5
1c. Organizational Chart8 - 9
2. BSA/AML & OFAC Compliance Program10
3. BSA/AML & OFAC Risk Assessment74
4. BSA Audit - April 201579
5. Training Case Study Exercise83
5a. Training - Bank Employees84
5b. Training - Smith Certificate86
5c. 2015 BSA Training87
5d. 2016 BSA Training88
6. FinCEN Case Study Exercise89
Core Procedures90
1. CTR & CTR Exemptions90
CTR Case Study Exercise90
CTR Large Cash Items Report92 - 93
Blue Parkway EZ Stop146
Dennis Miller148
Export Services149
Fraightrway150
Frog Bay Apartments151
Neil Strong152
Tay Gatewood153
Todds County Golf155
CTR Exemptions Case Study Exercise156
Baker's Inc. Account Information157
Baker's Inc. Account Statements158
Baker's Inc. Annual Review167
Baker's Inc. CIP Business Profile168
Baker's Inc. CIP169
Todds County Eatery Account Info173
Todds County Eatery Account Statements174
Todds County Eatery Annual Review185
Todds County Eatery CIP Business Profile186
Todds County Eatery CIP187
2. CIP Case Study Exercise191
CIP Sample List192
Brittany Gate193
Carter Lee195
Charles weekly197
Cheyll Grace199
Clair N. Mount200
Christine Adams201
Frank Drake202
Fred J. Hogworts204
George Smith Jr.206
Jake Copper207
Jane Fort209
Jason Hatter211
Jet Lee Fredwicks213
John H. Wood214
Justin D. Hayne215
Key Fredwicks216
Lauren Oaks218
Les Mitch220
Molly Plane222
Regan Patrick224
Rhine J. Hayne226
Ronald South227
Sara Taylor229
Shelby Oliver231
Sherley South233
Timothy Grace235
Toney Collins237
Mark Cross221
Tori Underwood238
Tori Welch239
3. CDD-EDD Case Study Exercise240
CDD Correspondence Sample241
CIP Business Profile Form242
4. 314(a) Information Sharing Case Study Exercise244
Bank 314(a) Records245
FinCEN Information Sharing252 - 253
SISS Activity Report254 - 255
5. Monetary Instruments Case Study Exercise260
Brenda Mosley261
Kathie and Luke Brooks262
Nick North263
Rick Lynn264
Steve Kelly265
Wyett James Monroe266
6. Wires Case Study Exercise266
Wires Transaction Testing268 - 269
Acewood Enterprise270
Bill Bays272
Brad Presley274
David Turley278
East Tennessee Title Co280
Lisa Rack284
Main Street Place286

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