BSA/AML Student Exercises Dec. 2022

Exhibit CIP Worksheet

Acct Type Name Add 008 SSN

Date Opened

Account Number

Occupation! Business

OFAC Check Prime ID Second ID

Risk/COD

Comments

Account Name

Ins Card

Not Documented Low/Yes

xxx3901 ODA x

x x x no KY DL

9/3/2015

KY Inst Permit

LowNes

Logger

Ins Card LC High Diploma WV Nursing

x x x no

xxx3950 DDA x

9/11/2015

Low/Yes

Cashier

x

x x x no KY DL

RN

Address discrepancy verified

NIF NIF

xxx3992 DDA x xxx4024 DDA x

9/24/2015 9/24/2015

x x x no WV DL x x x no KY DL

Debit Card BankLoanOfficer

KY Motor Vehicle Comission License

Used Car Dealership

EIN Letter Ins Card Ins Card

HighNes Signers verified

xioQ525 DDA x Kio(5513 SAV x roc5615 SAV x ax4081 ODA x

9/24/2015 9/16/2015 9/24/2015 10/2/2015 10/14/2015

x na x no x x x no KY DL x x x no KY DL x x x no KY DL x x x x no FL DL

Not Documented Low/Yes Not Documented Low/Yes

Debit Card Retired -ARC

Low/Yes Med/Yes

mcx4149 ODA

Military ID

Retired

Cannot read issue or expiration date on copy Cannot read issue or expiration date on copy

Housewife

Debit Card

LowNes

10/19/2015

=4198

DDA x

x x x no KY DL

LowNes

Debit Card

x

x x x no KY DL x x x no KY DL x x x no KY DL x x x no WV DL

LDger

Debit Card Not Documented Debit Card Not Documented

10/19/2015

xxx4214 DDA x

NIF NIF NIF

x

Ins Card

10/23/2015

xxx4248 ODA x

Not Documented

KY Inst Permit

Cannot read Issue or expiration date on copy CIP form had state DL and credit card checked but issues/explralion dates were not documented or copies included in the file.

Low/Yes

10/26/2015

xxx4263 DDA a

a x x no

Debit Card

Student

NIF

10/30/2015

xxx5763 SAV x

NIF

Homemaker Retired - Manual Labor Prior Restaurant Worker Not Documented

x x x no NIF

Low/Yes

11/3/2015

m0(4289 DDA x

x x x no WV DL

SS Card

11/7/2015 11/12/2015

Low/Yes Address discrepancy verified

xxx4321 DDA x xxx4339 ODA a

x x x no KY ID x x x no WV DL

SS Card SS Card Medicare Card Ins Card

NIF

11/9/2015 9/14/2015 9/18/2015 10/7/2015

Not Documented Low/Yes

x x x x no KY DL x x x yes KY DL x x x yes KY DL x x x yes KY DL

xxx5797 SAV

NA NA NA

Not Documented

moc8500 xeccli 00 )00:2500

LN x LN x LN x

Debit Card Not Documented Debit Card Not Documented

OH Articles of SOS

10/16/2015 1 1 / 1 0/2015 11/17/2015

Not Documented

Signers verified

NA NA NA

3=4500 xx3c7300 moc7800

LN x

x x x yes x x a yes WV DL x x x yes WV DL

LN-

x

WV Voters Not Documented WV TWIG Not Documented .

LN x

8 7