Use this checklist to review the adequacy of the institution’s BSA-AML-OFAC risk-assessment and Customer Due Diligence (CDD) process. This product contains checklists related to below 23 processes. (total 20 pages)
Preview – Sample -BSA-AML-OFAC-CDD Checklist
- Customer Due Diligence Program
- Compliance Program, Internal control, Independent testing
- Training, AML Program
- Suspicious activity Reports and Reporting process
- Currency Transaction reports & exceptions
- OFAC Restrictions
- Reports of International Shipments of Currency and Foreign Bank and Financial Accounts
- Foreign Banks and Financial Accounts
- Sales of Monetary Instruments
- Wire Transfer Recordkeeping, Record Retention
- Prohibition on United States Correspondent Accounts with Foreign Shell Banks
- Certification “Safe Harbor” for Foreign Ownership, Legal Process, and “Shell Bank” Prohibition
- Summons or Subpoena of Foreign Bank Records; Termination of Correspondent Relationship
- Due Diligence, Information Sharing with Law Enforcement
- Information Sharing Among Financial Institutions
- CIP Policy Review, Electronic Banking
- New Money Services Business Customers
Product ID : KTCP234
Format : Word Doc : Preview – Sample -BSA-AML-OFAC-CDD Checklist
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