Introductory BSA/AML Examiner School, Atlanta, CA

First page Table of contents Next page Last page
Roster3
Agenda4
BSA Regulations9
BSA/AML Exam Manual23
The FinCEN Database29
SAR Report Cleansed36
Clean FinCEN Download38
Number of Suspicious Activity Report Filings Ranked in Descending Order50
Examination Planning53
State Charter Exam Planning Case Study57
Scope Memo58
BSA Request Letter CA61
BSA Workprogram TOC68
BSA Workprogram INDEX70
Summary Statistics 201772
Risk Assessment75
Core Exam Procedures87
Core BSA Exam Procedures87
Core CTR Exam Procedures93
Sample Bank CTR CLEAN96
Sample FinCEN CTR102
FinCEN Cash in and Out Report CLEAN106
Core CTR Exemption Exam Procedures114
CTR Exemption Review Form119
Core SAR Exam Procedures119
SAR Narrative129
Clean Sample SAR Narrative130
SAR Filings Ranked134
Core CIP Exam Procedures136
CIP Policy Sample140
Sample New Account Report148
Sample Blank Signature Card149
Sample Completed Signature Card150
Sample Loan Application151
Sample BSA-CIP Form153
Core CDD Exam Procedures154
Sample New Account Report161
BSA Data Form - Individuals162
Sample Acct Questionnaire - Personal163
BSA Data Form - Businesses165
Sample Acct Questionnaire167
Sample Acct Questionnaire172
MSB Forms178
Private ATM Checklist185
New Account BSA Risk Assessment186
Certification of Beneficial Owner(s) Form187
Sample Check List for New CDD rule188
Core Information Sharing Exam Procedures189
Sample 314a Tracking Log196
FinCEN 314(a) Search Record200
Core Monetary Instrument Exam Procedures201
Core Funds Transfer Exam Procedures205
Sample Wire Log211
BSA/AML Compliance Program Structures221
Examination Results227
Examination Results227
BSA Resolution233
Target Review BSA235
Money Services Businesses253
FIN-2016-G001267
FIN-2016-G002272
Money Laundering Prevention - MSB Guide278
Emerging Issues383
FinCEN Penalizes Peer-to-Peer Virtual Currency Exchanger for Violations of AML Laws390
Cannabis Banking Conundrum392
Marijuana Banking Update395
FAFT Advisory399
PEP Facilitator Advisory411
FinCEN Advisory Disaster Related Fraud426
Improved Transparency430
Overhaul US AML Regime432

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