BSA-AML Examiner School - Series 2 eBook

Internal Use Only

Exam Results

Internal Use Only

Exam Results Document workpapers appropriately with the following information: • A conclusion regarding the adequacy of the BSA/AML compliance program • Whether it meets all the regulatory requirements by providing the following: • A system of internal controls

• Independent testing for compliance • A specific person to coordinate and monitor the BSA/AML compliance program • Training of appropriate personnel • The CDD Rule