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Intro -- 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).
Reporting, 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.
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Bank Secrecy Act/anti-money laundering [[electronic resource] /] / Lilian B. Klein
