Introductory BSA AML Examiner School Manual Palm Springs 2019
First page
Table of contents
Next page
Last page
Roster
3
Agenda
5
BSA Regulations
11
BSA/AML Exam Manual
25
The FinCEN Database
31
SAR Report Cleansed
38
Clean FinCEN Download
40
Number of Suspicious Activity Report Filings Ranked in Descending Order
52
Examination Planning
55
State Charter Exam Planning Case Study
59
Scope Memo
60
BSA Request Letter CA
63
BSA Workprogram TOC
70
BSA Workprogram INDEX
72
Summary Statistics 2017
74
Risk Assessment
77
Core Exam Procedures
89
Core BSA Exam Procedures
89
Core CTR Exam Procedures
97
Sample Bank CTR CLEAN
100
Sample FinCEN CTR
106
FinCEN Cash in and Out Report CLEAN
110
Core CTR Exemption Exam Procedures
118
CTR Exemption Review Form
123
Core SAR Exam Procedures
123
SAR Narrative
133
Clean Sample SAR Narrative
134
SAR Filings Ranked
138
Core CIP Exam Procedures
140
CIP Policy Sample
144
Sample New Account Report
152
Sample Blank Signature Card
153
Sample Completed Signature Card
154
Sample Loan Application
155
Sample BSA-CIP Form
157
Core CDD Exam Procedures
158
Sample New Account Report
165
BSA Data Form - Individuals
166
Sample Acct Questionnaire - Personal
167
BSA Data Form - Businesses
169
Sample Acct Questionnaire
171
Sample Acct Questionnaire
176
MSB Forms
182
Private ATM Checklist
189
New Account BSA Risk Assessment
190
Certification of Beneficial Owner(s) Form
191
Sample Check List for New CDD rule
192
Core Information Sharing Exam Procedures
193
Sample 314a Tracking Log
200
FinCEN 314(a) Search Record
204
Core Monetary Instrument Exam Procedures
205
Core Funds Transfer Exam Procedures
209
Sample Wire Log
215
BSA/AML Compliance Program Structures
225
Examination Results
231
BSA Resolution
238
Target Review BSA
240
Money Services Businesses
259
FIN-2016-G001
273
FIN-2016-G002
278
Money Laundering Prevention - MSB Guide
284
Emerging Issues
389
FinCEN Penalizes Peer-to-Peer Virtual Currency Exchanger for Violations of AML Laws
396
Cannabis Banking Conundrum
398
Marijuana Banking Update
401
FAFT Advisory
405
PEP Facilitator Advisory
417
FinCEN Advisory Disaster Related Fraud
432
Improved Transparency
436
Overhaul US AML Regime
438
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