Introductory BSA AML Examiner School Manual Palm Springs 2019

First page Table of contents Next page Last page
Roster3
Agenda5
BSA Regulations11
BSA/AML Exam Manual25
The FinCEN Database31
SAR Report Cleansed38
Clean FinCEN Download40
Number of Suspicious Activity Report Filings Ranked in Descending Order52
Examination Planning55
State Charter Exam Planning Case Study59
Scope Memo60
BSA Request Letter CA63
BSA Workprogram TOC70
BSA Workprogram INDEX72
Summary Statistics 201774
Risk Assessment77
Core Exam Procedures89
Core BSA Exam Procedures89
Core CTR Exam Procedures97
Sample Bank CTR CLEAN100
Sample FinCEN CTR106
FinCEN Cash in and Out Report CLEAN110
Core CTR Exemption Exam Procedures118
CTR Exemption Review Form123
Core SAR Exam Procedures123
SAR Narrative133
Clean Sample SAR Narrative134
SAR Filings Ranked138
Core CIP Exam Procedures140
CIP Policy Sample144
Sample New Account Report152
Sample Blank Signature Card153
Sample Completed Signature Card154
Sample Loan Application155
Sample BSA-CIP Form157
Core CDD Exam Procedures158
Sample New Account Report165
BSA Data Form - Individuals166
Sample Acct Questionnaire - Personal167
BSA Data Form - Businesses169
Sample Acct Questionnaire171
Sample Acct Questionnaire176
MSB Forms182
Private ATM Checklist189
New Account BSA Risk Assessment190
Certification of Beneficial Owner(s) Form191
Sample Check List for New CDD rule192
Core Information Sharing Exam Procedures193
Sample 314a Tracking Log200
FinCEN 314(a) Search Record204
Core Monetary Instrument Exam Procedures205
Core Funds Transfer Exam Procedures209
Sample Wire Log215
BSA/AML Compliance Program Structures225
Examination Results231
BSA Resolution238
Target Review BSA240
Money Services Businesses259
FIN-2016-G001273
FIN-2016-G002278
Money Laundering Prevention - MSB Guide284
Emerging Issues389
FinCEN Penalizes Peer-to-Peer Virtual Currency Exchanger for Violations of AML Laws396
Cannabis Banking Conundrum398
Marijuana Banking Update401
FAFT Advisory405
PEP Facilitator Advisory417
FinCEN Advisory Disaster Related Fraud432
Improved Transparency436
Overhaul US AML Regime438

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