Introductory BSA/AML Examiner School, Atlanta, CA

CORE WORKPROGRAM FOR ASSESSING THE BSA/AML COMPLIANCE PROGRAM

Scoping and Planning

Core Core Core Core

BSA/AML Risk Assessment BSA/AML Compliance Program

Developing Conclusions and Finalizing the Examination

CORE WORKPROGRAM FOR REGULATORY REQUIREMENTS AND RELATED TOPICS

Trans. Testing?

X0AO X0AO X0AO X0AO X0AO X0AO X0AO X0AO X0AO X0AO X0AO X0AO X0AO X0AO X0AO X0AO X0AO X0AO X0AO X0AO X0AO X0AO X0AO X0AO X0AO X0AO X0AO X0AO X0AO X0AO X0AO

Customer Identification Program Customer Due Diligence Suspicious Activity Reporting Currency Transaction Reporting

CIP

CDD SAR CTR

Currency Transaction Reporting Exemptions

Exempt

Information Sharing

314

Purchase and Sale of Monetary Instruments Recordkeeping

MISL

Funds Transfers Recordkeeping

Funds X For Cor Private Sp Meas For Bank

Foreign Correspondent Account Recordkeeping and Due Diligence Private Banking Due Diligence Program (Non-U.S. Persons)

Special Measures

Foreign Bank and Financial Accounts Reporting

International Transportation of Currency or Monetary Instruments Reporting

Int'l

Office of Foreign Assets Control

OFAC

EXPANDED WORKPROGRAM FOR CONSOLIDATED AND OTHER TYPES OF BSA/AML COMPLIANCE PROGRAM STRUCTURES

X0AO X0AO

BSA/AML Compliance Program Structure Foreign Branches and Offices of U.S. Banks

CPS

US FBO

Parallel Banking

Para

EXPANDED WORKPROGRAM FOR PRODUCTS AND SERVICES

Correspondent Accounts (Domestic) Correspondent Accounts (Foreign)

DomCorA ForCorA

Bulk Shipments of Currency

Bulk

U.S. Dollar Drafts

Drafts

Payable Through Accounts

Pay Thru

Pouch Activities Electronic Banking Funds Transfers

Pouch

Elec Bank Funds Tran

Automated Clearing House Transactions

ACH

- Remote Deposit Capture Prepaid Access Third-Party Payment Processors

Prepaid

TPPP

Purchase and Sale of Monetary Instruments

MI PurSal

Brokered Deposits

Brkrd