BSA/AML Student Exercises Dec. 2022

BANK SECRECY ACT REQUEST LIST

Internal Use Only

21.06

X

List of accounts opened with CIP exceptions between 07/15/15 – 07/08/16.

22.01

X Access to Suspicious Activity Reports (SARs) filed with FinCEN since the last exam and the supporting documentation. Include copies of any filed SARs that were related to section 314(a) 31 CFR Chapter X 1010.520 requests for information or to section 314(b) 31 CFR Chapter X 1010.540 information sharing requests. X Any analyses or documentation of any activity for which a SAR was considered but not filed, or for which the bank is actively considering filing a SAR. Internal reports used to identify reportable currency transactions from 06/02/2016 to 06/20/2016. List of customers exempted from CTR filing and the documentation to support the exemption (e.g., currency transaction history). Documentation of any positive match for a section 31 CFR 1010.520 (formerly 314a) request. Records of sales of monetary instruments in amounts between $3,000 and $10,000 (if maintained with individual transactions, provide samples of the record made in connection with the sale of each type of monetary instrument). Funds transfer activity logs for transfers into and out of the bank, including funds transfers that involve cover payments. Include the number and dollar volume of wire transfer activity for the month. X List of funds transfers purchased with currency from 07/01/2015 to 07/11/2016. X List of blocked or rejected transactions with individuals or entities on the OFAC list and reported to OFAC. List of software and service providers used by the bank for BSA/AML/USA PATRIOT Act and OFAC compliance purposes. Contract with vendor used to perform OFAC checks against new and existing customer names. X X X X X X X

22.02

23.01

23.02

24.01

25.01

26.01

26.02

27.01

28.01

28.02

FDIC

2

05/27/2016