Introductory BSA AML Examiner School Manual Palm Springs 2019

Previous regulatory examinations & dates: DOB MM/DD/YYYY – FDIC MM/DD/YYYY Enforcement action present: Yes / No If yes, what type: BR, MOU, CO, C&DO, LUA, PWL Prior findings present elevated concern: Yes / No Prior Violations of Laws or Regulations: Yes / No If yes, what type: Pillar / Technical / Isolated / Systemic Examiner Comments: • Enter comments here as a bullet. Elaborate on any information related to the previous examinations such as the number and/or severity of the findings. Comment if it is readily apparent that examination issues have not been corrected or if they appear to have been addressed. Risk assessment completed: Yes / No Appears to cover all areas of risk: Yes / Generally Yes / No Examiner Comments: • Enter comments here as a bullet. Elaborate on anything in regards to the risk assessment and/or the process. Discuss if it appears the risk assessment does not contain enough data, both qualitative and quantitative, to generally identify, measure, monitor, or control risks. CTR/SAR Download reviewed: Yes / No Examiner Comments: • Enter comments here as a bullet. Elaborate on anything in regards to the data that appears unusual or requires follow-up. Closing Comments: • Enter any other comments about the proposed scope and examination that are of interest here as a bullet. Include here a possible exit meeting date range, other information you may require from staff, interesting information you came across such as similar names that you have seen in the past that may require investigation. Banks – proceed with utilizing the FFIEC InfoBase Examination Procedures for areas that will be reviewed.