Blue Gold Header.gif (10668 bytes)

Dr._making_notes.JPG (7054 bytes)

 

  1. Policy Statement
    1. Bank Secrecy Act Officer and Compliance Committee
    2. Board Audit Committee
  2. Bank Secrecy Act Reporting Policy and Procedures
    1. Currency Transaction Reporting
    2. Monetary Instrument Sales for Currency
    3. Suspicious Activity Reporting
    4. Wire Transfer Reporting and Recordkeeping
    5. Anti-Money Laundering
    6. Customer Identification Procedures
    7. Customer Due Diligence
    8. Law Enforcement Inquiries and Requests
    9. Special Measures
    10. Electronic Banking
  3. BSA Exemption Categories and Procedures
    1. Phase I Exempt Person Exemption Procedures
    2.  
      1. Initial Certification Statement Financial Institutions and Government Authorities
      2. Initial Certification Statement Listed Business and Subsidiaries
      3. Initial Certification Listed Business and Subsidiaries
      4. Annual Review Form Listed Business and Subsidiaries
    3. Phase II Exempt Person Exemption Procedures
      1. Initial Certification Statement Non-Listed Business and Cash Payroll Customer
      2. Initial Certification Non-listed Business and Cash Payroll Customer
      3. BSA Phase II Exemption Annual Review Form
  4. USA PATRIOT Act Section 314(a) Compliance Procedures
  5. Record Retention Requirements
  6. BSA Compliance Training
  7. BSA Compliance Testing

EXHIBITS

  1. BSA Customer Exemption List
  2. BSA Forms

    A. Currency Transaction Report (FinCEN Form 104)

    B. Designation of Exempt Person (FinCEN Form 110)

    C. Suspicious Activity Report (Treasury FinCEN Form TD F 90-22.47)

    D. Report of International Transportation of Currency (FinCEN Form 105)

    E. Request for Wire Transfer Services Form

    F. Monetary Instrument Log

    G. Internal Suspicious Activity Tracking Report

  3. Customer ID Program Tools

    A. CIP Procedures Quick Reference Guide

    B. Account Ownership Matrix

    C. CIP Customer Application Documents

    D. Acceptable Identification Documents

    E. SSN Rules for Non U.S. Persons

    F. Verification Documents

         1. CIP Identification Verification Recommendations

         2. CIP Verification Requirements

         3. CIP Verification Discrepancies: Recommended Account Restrictions

    G. IRS EIN Application Procedures

    H. Notarized Identification Document

    I.  CIP Deposit Adverse Action Letter

    J. Money Services Business Questionnaire

    K. Commercial Customer Due Diligence Questionnaire

    L.  Deposit Broker Due Diligence Questionnaire

    M. Deposit Broker Listing

    N. Due Diligence for Privately Owned ATMs

  4. Anti-Money Laundering Tools

    A. Selected Information from Semiannual SAR Review

    B. Potential Money Laundering Warning Signs

    C. FATF Guidance for Financial Institutions in Detecting Terrorist Financing

    D. FATF The Forty Recommendations

    E. AML Risk Assessment

    F. AML Report Review Matrix

    G. BSA/AML Responsibility Matrix

  5. Geographies of Concern

    A. HIFCAs

    B. HIDTA Map

    C. HIDTA International Locations

    D. Non-Cooperative Countries and Territories (NCCTs)

    E. Money Laundering Countries and Jurisdictions of Concern

    F. CIP Quick Reference Countries of Concern

  6. Compliance Review Tools

    A. Currency Transaction Report Review Checklist

    B. Standard State Abbreviations

    C. Standard Country/State Abbreviations

    D. Customer Identification Program Checklist

    E. Section 314(a) Compliance Review Checklist

  7. Compliance Training Tools

    A. BSA Questionnaire and Tests

    B. BSA Training Handout

    C. USA PATRIOT Act 314(a) Information Requests Training Handout

    D. CTR Training Handout

                     

                      

                       

 This page last updated June 07, 2012