BSA/AML Student Exercises Dec. 2022

First page Table of contents Next page Last page
Case Study Introduction2
Exam Planning2
Pre-Exam E-mail & Prior Exam Comment4
Organizational Chart8 - 9
AJ&R Bank & Trust BSA OFAC Compliance Program10
Risk Assessment70
Audit- April 2015 Interim BSA Review76
Audit - Independent Review & Workpapers December 201580
FinCEN Instructions174
Training175
Bank Employees176
Bank Staff BSA Training 2016178
Bank Staff BSA Training 2015178
Smith 2015 Training Certificate180 - 181
Core Procedures182
CIP Instructions182
CIP Sample182
CIP Individual Profiles184
CDD-EDD230
CDD-EDD Instructions230
CIP Business Profile232
Correspondance CDD CIP OFAC Sample234
Information Sharing235
314 (a) Instructions235
FinCEN Information Sharing236
Bank 314 (a) Logs236
SISS Download244 - 245
Currency Transaction Reports250
CTR Instructions250
BCTR Transcripts250
CTR Exemptions261
Bakers Inc.262
Account Information262
Account Statements262
Annual Review272
CIP Business Profile274
CIP New Account274
Secretary of State277
Todds County Eatery278
CIP New Account278
Secretary of State281
Account Information283
Account Statements284
Annual Review294
CIP Business Profile296
Monetary Instruments296
Instructions296
Account Holder Logs298
Wire Transfers304
Incoming Transfers Log306 - 307
Outgoing Transfers Log318 - 319
Acewood Enterprise Wire Report330
Bill Bays Wire Report332
Brad Presley Wire Report334
David Turley Wire Report336
East Tennessee Title Co Wire Report338
Lisa Rack Wire Report342
Main Street Place Wire Report344
MSB Exam Scenario347
BSA Officer Meeting Instructions350
BSA/AML Officer Meeting Instructor Evaluation350
BSA/AML Officer Meeting Self-Evaluation352

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