BSA/AML Examination Procedures

BSA/AML Examination Procedures and Multi-Download Options

Procedures that provide guidance to examiners for carrying out BSA/AML and OFAC examinations.

Select the examination procedure name to view it online, select the Word (.docx) to download the procedure, or check the individual procedure checkboxes to download a combined document with the procedures selected. Scroll down to the bottom of the page for the download button.

Examination Procedures Download
Scoping and Planning Select Scoping and Planning
Risk - Focused BSA/AML Supervision (2020) Word (.docx)
Developing the BSA/AML Examination Plan (2020) Word (.docx)
BSA/AML Risk Assessment Select BSA/AML Risk Assessment
BSA/AML Risk Assessment (2020) Word (.docx)
Assessing the BSA/AML Compliance Program Select Assessing the BSA/AML Compliance Program
Assessing the BSA/AML Compliance Program (2020) Word (.docx)
BSA/AML Internal Controls (2020) Word (.docx)
BSA/AML Independent Testing (2020) Word (.docx)
BSA Compliance Officer (2020) Word (.docx)
BSA/AML Training (2020) Word (.docx)
Developing Conclusions and Finalizing the Exam Select Developing Conclusions and Finalizing the Exam
Developing Conclusions and Finalizing the Exam (2020) Word (.docx)
Assessing Compliance with BSA Regulatory Requirements Select Assessing Compliance with BSA Regulatory Requirements
Customer Identification Program (2021) Word (.docx)
Customer Due Diligence (2018) Word (.docx)
Beneficial Ownership Requirements for Legal Entity Customers (2018) Word (.docx)
Suspicious Activity Reporting (2014) Word (.docx)
Currency Transaction Reporting (2021) Word (.docx)
Transactions of Exempt Persons (2021) Word (.docx)
Special Information Sharing Procedures (2023) Word (.docx)
Purchase and Sale of Certain Monetary Instruments Recordkeeping (2021) Word (.docx)
Funds Transfers Recordkeeping (2014) Word (.docx)
Due Diligence Programs for Correspondent Accounts for Foreign Financial Institutions (2023) Word (.docx)
Due Diligence Programs for Private Banking Accounts (2023) Word (.docx)
Prohibition on Correspondent Accounts for Foreign Shell Banks; Records of Owners and Agents (2023) Word (.docx)
Summons or Subpoena of Foreign Bank Records (2023) Word (.docx)
Reporting Obligations on Foreign Bank Relationships with Iranian-Linked Financial Institutions (2023) Word (.docx)
Special Measures (2021) Word (.docx)
Reports of Foreign Financial Accounts (2021) Word (.docx)
International Transportation of Currency or Monetary Instruments Reporting (2021) Word (.docx)
Office of Foreign Assets Control Select Office of Foreign Assets Control
Office of Foreign Assets Control (2014) Word (.docx)
Program Structures Select Program Structures
BSA/AML Compliance Program Structures (2014) Word (.docx)
Foreign Branches and Offices of U.S. Banks (2014) Word (.docx)
Parallel Banking (2014) Word (.docx)
Risks Associated with Money Laundering and Terrorist Financing Select Risks Associated with Money Laundering and Terrorist Financing
Correspondent Accounts (Domestic) (2014) Word (.docx)
Bulk Shipments of Currency (2014) Word (.docx)
U.S. Dollar Drafts (2014) Word (.docx)
Payable Through Accounts (2014) Word (.docx)
Pouch Activities (2014) Word (.docx)
Electronic Banking (2014) Word (.docx)
Funds Transfers (2014) Word (.docx)
Automated Clearing House Transactions (2014) Word (.docx)
Prepaid Access (2014) Word (.docx)
Third-Party Payment Processors (2014) Word (.docx)
Brokered Deposits (2014) Word (.docx)
Independent Automated Teller Machine Owners or Operators (2021) Word (.docx)
Nondeposit Investment Products (2014) Word (.docx)
Insurance (2014) Word (.docx)
Concentration Accounts (2014) Word (.docx)
Lending Activities (2014) Word (.docx)
Trade Finance Activites (2014) Word (.docx)
Trust and Asset Management Services (2014) Word (.docx)
Nonresident Aliens and Foreign Individuals (2014) Word (.docx)
Politically Exposed Persons (2021) Word (.docx)
Embassy, Foreign Consulate, and Foreign Mission Accounts (2014) Word (.docx)
Non-Bank Financial Institutions (2014) Word (.docx)
Professional Service Providers (2014) Word (.docx)
Charities and Nonprofit Organizations (2021) Word (.docx)
Business Entities (Domestic and Foreign) (2014) Word (.docx)
Cash-Intensive Businesses (2014) Word (.docx)