Trust Examiner School eBook

Item # Request Item Status Individual Responsible / Comment

Page 10

7.01 Provide copy of the BSA policy and procedures. 7.02 Provide copy of BSA risk assessment.

7.03 Provide copy of Customer Identification Program. 7.04 Provide copy of the OFAC policy and procedures. 7.05 Provide copy of OFAC risk assessment.

7.06 Provide copy of most recent independent review for BSA/OFAC compliance, including management's response to the findings. 7.07 Provide copy of Suspicious Activity Reports filed with FinCEN since the prior examination. 7.08 Provide copy of Information Sharing-Section 314(a) policies and procedures. 7.09 Provide copy of the Customer Information Program and Procedures.

7.10 Provide copy of the Customer Due Diligence policy and procedures, including a list of the company's high risk customers. 7.11 Provide a copy of the BSA Training Program. Comments:

BANK SECRECY ACT