Introductory BSA/AML Examiner School, Atlanta, CA

Massachusetts Division of Banks BSA/AML – OFAC – UIGEA Examination Scope Memorandum

Bank/Credit Union:

Bank/Credit Union of Massachusetts

Risk Management Start Date*: * Does not include pre-exam week Risk Management EIC: BSA/AML-OFAC-UIGEA Start Date:

MM/DD/YYYY

Examiner E. Examiner

MM/DD/YYYY

Examiner:

Examiner E. Examiner

Pre-Exam Allocated: If Yes, Hours Allocated: Offsite Hours Allocated: Projected Total Hours: Projected Completion Date:

Yes / No

35-40 / N/A 35-40 / N/A

40-75

MM/DD/YYYY Review the following documents to determine a projected scope and projected hours on-site. • Customers/Products/Services Checklist • Independent Audit/Review • Risk Assessment(s) • Previous Examinations • CTR/SAR Download • Policies and Procedures • Status of both independent audit/ review and regulatory examination findings and recommendations via audit tracking matrix or similar documents Audit/review completed by: Wolf & Company, P.C. / Internal Audit/review report dated: MM/DD/YYYY Audit/review determination: “Satisfactory” / “Needs Improvement” Audit/review work papers available: Yes / No / Not currently Examiner Comments: • Enter comments here as a bullet. Note the number and/or severity of the findings, repeat findings, or any other comments about the independent audit/review. Note if work papers appear strong enough to rely upon for some coverage or transactional testing or if they aren’t available first day on-site but will be during review.