Trust Examiner School - September 2023

Internal Use Only

Compliance

• Policies & procedures • Account opening & closing procedures • Bank Secrecy Act/Anti-Money Laundering (BSA/AML)

• Laws & regulations • Conflicts of interest

43

Internal Use Only

Guidelines for Selection of Accounts Non ‐ Approved Assets High Cash Balances Asset Concentrations Recently Opened or Closed Prior Exam Issues

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