BSA/AML Student Exercises Dec. 2022

LCB12/15

Checklist 9.2: Purchase and Sale of Monetary Instruments (cont.)

1 2 3

If the purchaser does not have a deposit account with the institution, did the institution obtain the following:  Purchaser's date of birth? 31 CFR 1010.415(a)(2)(i)(C)

NA NA NA

NA NA NA

Date of purchase? 31 CFR 1010.415(a)(2)(i)(D)



 Type(s) of instrument(s) purchased? 31 CFR 1010.415(a)(2)(i)(E)

NA NA NA

 Serial number(s) of each of the instrument(s) purchased? 31 CFR 1010.415(a)(2)(i)(F)

NA NA NA

 Dollar amount(s) of each of the instrument(s)? 31 CFR 1010.415(a)(2)(i)(G)

NA NA NA

Method of verification of identity? 31 CFR 1010.415(a)(2)(ii)

NA NA NA



Comments.' No issues were identified.

7 6