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  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
    11. FBARs
  3. BSA Exemption Categories and Procedures
    1. Phase I Exempt Person Exemption Procedures  
      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
    2. 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


  1. BSA Customer Exemption List
  2. BSA Forms

    A. Currency Transaction Report

    B. Designation of Exempt Person

    C. Suspicious Activity Report

    D. Report of International Transportation of Currency

    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. Standard State Abbreviations

    B. Standard Country/State Abbreviations

    C. Customer Identification Program Checklist

    D. Section 314(a) Compliance Review Checklist

  7. Compliance Training Tools

    A. BSA Questionnaire and Tests

    B. BSA Training Handout




 This page last updated January 09, 2015