LEADER 05126nam 2200565 a 450 001 9910823391503321 005 20240410173238.0 010 $a1-61668-043-1 035 $a(CKB)2560000000102917 035 $a(EBL)3022227 035 $a(SSID)ssj0000872900 035 $a(PQKBManifestationID)12445607 035 $a(PQKBTitleCode)TC0000872900 035 $a(PQKBWorkID)10863801 035 $a(PQKB)10208176 035 $a(MiAaPQ)EBC3022227 035 $a(Au-PeEL)EBL3022227 035 $a(CaPaEBR)ebr10698274 035 $a(OCoLC)923668227 035 $a(EXLCZ)992560000000102917 100 $a20080320d2008 uy 0 101 0 $aeng 135 $aur|n|---||||| 181 $ctxt 182 $cc 183 $acr 200 10$aBank Secrecy Act/anti-money laundering$b[electronic resource] /$fLilian B. Klein 205 $a1st ed. 210 $aNew York $cNova Science Publishers$dc2008 215 $a1 online resource (128 p.) 300 $aDescription based upon print version of record. 311 $a1-60456-624-8 320 $aIncludes bibliographical references and index. 327 $aIntro -- BANK SECRECY ACT/ANTI-MONEY LAUNDERING -- BANK SECRECY ACT/ANTI-MONEY LAUNDERING -- LIBRARY OF CONGRESS CATALOGING-IN-PUBLICATION DATA -- CONTENTS -- PREFACE -- Chapter 1: INTRODUCTION -- BACKGROUND -- Chapter 2: OCC INITIATIVES -- Chapter 3: PENALTIES -- Chapter 4: ASSET FORFEITURE -- Chapter 5: INTERNAL BSA COMPLIANCE PROGRAMS -- Internal Controls -- Independent Testing of Compliance -- Compliance Officer -- Training -- Reporting Requirements -- Record Keeping Requirements -- Chapter 6: EXEMPTIONS FROM THE CTR FILING REQUIREMENTS -- Chapter 7: SUSPICIOUS ACTIVITY REPORTING REQUIREMENTS -- Chapter 8: OPENING AND MAINTAINING ACCOUNTS AND CUSTOMER RELATIONSHIPS -- IDENTIFYING THE CUSTOMER -- Chapter 9: HIGH-RISK AREAS -- HIGH-RISK PRODUCTS AND SERVICES -- International Correspondent Banking Relationships -- Wire (Funds) Transfers -- Pouch Activity -- Payable through Accounts -- International Brokered Deposits -- Special Use Accounts -- Private Banking -- Foreign Branches and Offices of National Banks -- Insider Complicity -- High-Risk Entities -- Businesses -- Banking Functions and Transactions -- High-Risk Countries -- Chapter 10: COMMON MONEY LAUNDERING SCHEMES -- STRUCTURING -- THE BLACK MARKET PESO EXCHANGE -- MEXICAN BANK DRAFTS AND FACTORED THIRD-PARTY CHECKS -- Chapter 11: REPORTING TO TREASURY -- BSA VIOLATIONS AND ENFORCEMENT -- POLICY FOR REFERRING VIOLATIONS TO FINCEN -- OCC POLICY FOR FILING SARS WITH FINCEN -- OCC ADMINISTRATIVE ACTION -- Chapter 12: THE OFFICE OF FOREIGN ASSETS CONTROL -- Chapter 13: EXAMINATION PROCEDURES -- GENERAL PROCEDURES -- Objective -- Chapter 14: QUALITY OF RISK MANAGEMENT -- CONCLUSION: THE QUALITY OF RISK MANAGEMENT IS(STRONG, SATISFACTORY,WEAK) -- Policy -- Processes -- Personnel -- Controls -- Chapter 15: QUANTITY OF RISK -- CONCLUSION: THE QUANTITY OF RISK IS (LOW,MODERATE, HIGH). 327 $aReporting, Record Keeping, and Record Retention -- Exemptions -- Sale of Monetary Instruments -- Funds Transfer -- Responsibilities of Originating Banks -- Payable upon Proper Identification (PUPID) -- Nonresident Alien Accounts and the Black Market Peso Exchange -- International Brokered Deposits -- Foreign Correspondent Banking -- "Pouch" Activity -- Mexican Bank Drafts -- Payable through Accounts (PTAs) -- Special Use Accounts -- Private Banking and Trust -- Offshore Branches and Offices -- OFAC -- Lending Function -- Safe Custody/Safe Deposit Boxes -- Chapter 16: CONCLUSIONS -- Appendix A. FINCEN POLICY STATEMENTS AND GUIDELINES -- TWENTY-FIVE DAY EXTENSION FOR MAGNETIC FILING -- MONETARY INSTRUMENTS FOR ACCOUNT HOLDERS -- Appendix B. BANK SECRECY ACT DATABASES -- CURRENCY AND BANKING RETRIEVAL SYSTEM -- The Suspicious Activity Reporting System -- Currency and Banking Query System (CBQS) -- Assistance and Information -- Appendix C. REFERRING BSA VIOLATIONS TO FINCEN -- Content of Referral -- Referral Process -- Sample Cover Letter for Referring Potential BSA Violations to FinCEN -- Appendix D. AVAILABILITY OF OFFICE OF FOREIGN ASSET CONTROL INFORMATION -- Appendix E. BASLE SUPERVISORS' COMMITTEE STATEMENT OF PRINCIPLES ON MONEY LAUNDERING -- STATEMENT OF PRINCIPLES -- Purpose -- Customer Identification -- Compliance with Laws -- Cooperation with Law Enforcement Authorities -- Adherence to the Statement -- REFERENCES -- LAWS -- REGULATIONS -- OCC ISSUANCES -- INDEX. 606 $aBanks and banking$xRecords and correspondence$xLaw and legislation$zUnited States 606 $aMoney laundering$zUnited States$xPrevention 606 $aDrug traffic$zUnited States$xPrevention 615 0$aBanks and banking$xRecords and correspondence$xLaw and legislation 615 0$aMoney laundering$xPrevention. 615 0$aDrug traffic$xPrevention. 676 $a345.73/0268 700 $aKlein$b Lilian B$01602945 801 0$bMiAaPQ 801 1$bMiAaPQ 801 2$bMiAaPQ 906 $aBOOK 912 $a9910823391503321 996 $aBank Secrecy Act$93927098 997 $aUNINA