BSA/AML Student Exercises Dec. 2022
LCB 12/15
Checklist 9.2: Purchase and Sale of Monetary Instruments (cont.)
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If the purchaser has a deposit account with the institution, did the institution obtain the following: Name of the purchaser? 31 CFR 1010.415(a)(1)(i)(A)
Y Y Y
Y Y Y
Date of purchase? 31 CFR 1010.415(a)(1)(i)(B)
Type(s) of instrument(s) purchased? 31 CFR 1010.415(a)(1)(i)(C)
Y Y Y
Serial number(s) of each of the instrument(s) purchased? 31 CFR 1010.415(a)(1)(i)(D)
Y Y Y
Dollar amount(s) of each of the instrument(s)? 31 CFR 1010.415(a)(1)(i)(E)
Y Y Y
Y Y Y
Method of verification of identity (either at time of purchase or when deposit account opened)? 31 CFR 1010.415(a)(1)(ii) If the purchaser does not have a deposit account with the institution, did the institution obtain the following information: Name of the purchaser? 31 CFR 1010.415(a)(2)(i)(A) The Social Security number or alien identification number of the purchaser? 31 CFR 1010.415(a)(2)(i)(B)
NA NA NA
NA NA NA
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