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
Core Examination Procedures for Assessing The BSA/AML Compliance Program Select Compliance Program
Scoping and Planning Word (.docx)
BSA/AML Risk Assessment Word (.docx)
BSA/AML Compliance Program Word (.docx)
Developing Conclusions and Finalizing the Examination Word (.docx)
Core Examination Procedures for Regulatory Requirements and Related Topics Select Regulatory Requirements
Customer Identification Program Word (.docx)
Customer Due Diligence (2018) Word (.docx)
Beneficial Ownership Requirements for Legal Entity Customers (2018) Word (.docx)
Suspicious Activity Reporting Word (.docx)
Currency Transaction Reporting Word (.docx)
Currency Transaction Reporting Exemptions Word (.docx)
Information Sharing Word (.docx)
Purchase and Sale of Monetary Instruments Recordkeeping Word (.docx)
Funds Transfers Recordkeeping Word (.docx)
Foreign Correspondent Account Recordkeeping, Reporting and Due Diligence Word (.docx)
Private Banking Due Diligence Program (Non-U.S. Persons) Word (.docx)
Special Measures Word (.docx)
Foreign Bank and Financial Accounts Reporting Word (.docx)
International Transportation of Currency or Monetary Instruments Reporting Word (.docx)
Office of Foreign Assets Control Word (.docx)
Expanded Examination Procedures for Consolidated and Other Types of BSA/AML Compliance Program Structures Select Program Structures
BSA/AML Compliance Program Structures Word (.docx)
Foreign Branches and Offices of U.S. Banks Word (.docx)
Parallel Banking Word (.docx)
Expanded Examination Procedures For Products and Services Select Products and Services
Correspondent Accounts (Domestic) Word (.docx)
Correspondent Accounts (Foreign) Word (.docx)
Bulk Shipments of Currency Word (.docx)
U.S. Dollar Drafts Word (.docx)
Payable Through Accounts Word (.docx)
Pouch Activities Word (.docx)
Electronic Banking Word (.docx)
Funds Transfers Word (.docx)
Automated Clearing House Transactions Word (.docx)
Prepaid Access Word (.docx)
Third-Party Payment Processors Word (.docx)
Purchase and Sale of Monetary Instruments Word (.docx)
Brokered Deposits Word (.docx)
Privately Owned Automated Teller Machines Word (.docx)
Nondeposit Investment Products Word (.docx)
Insurance Word (.docx)
Concentration Accounts Word (.docx)
Lending Activities Word (.docx)
Trade Finance Activites Word (.docx)
Private Banking Word (.docx)
Trust and Asset Management Services Word (.docx)
Expanded Examination Procedures For Persons and Entities Select Persons and Entities
Nonresident Aliens and Foreign Individuals Word (.docx)
Politically Exposed Persons Word (.docx)
Embassy, Foreign Consulate, and Foreign Mission Accounts Word (.docx)
Non-Bank Financial Institutions Word (.docx)
Professional Service Providers Word (.docx)
Non-Governmental Organizations and Charities Word (.docx)
Business Entities (Domestic and Foreign) Word (.docx)
Cash-Intensive Businesses Word (.docx)