Introductory BSA AML Examiner School Manual Palm Springs 2019

FinCEN Section 314(a) REQUEST

Date of E-mail received from Fincen: Response Due Date to FinCEN: FinCEN Tracking Nos:

The following areas have been searched: • CIF Database (past 12 months) includes DDA, SAV, CD, Loans/Lines of Credit::

No hit Positive Hit (list name of individual or entity below) • Funds Transfers (wires) to search back 6 months (Wires are done only for customers).

No Hit Positive Hit (copy of wire attached) • Cash sales of Monetary Instruments sold ($3,000.00 to $10,000.00) for the past 6 months (Only sold to customers) No hit Positive Hit (list name &/or port of individual or entity below)

• Safe Deposit Boxes No Hit

Positive Hit (list name of individual or entity below)

Date Watchdog search completed (run date): __________________________ If positive match identified, response to FinCEN via e-mail (copy of e-mail attached) on (date):

Report reviewed and validated by:

Signature: Date: ________ NOTE: THE FINCEN REQUEST ITSELF WILL NOT BE KEPT; IT WILL BE DESTROYED AFTER DATABASE COMPARISON. The Bank will keep a log of the FinCEN Tracking number, the date(s) searched, and an indication of whether the Bank had a match. File copies in chronological date order and retained for five years.