Additional resources published by FFIEC members, FinCEN, and OFAC

Board of Governors of the Federal Reserve System
Document Number Document Title
SR 18-03 Federal Financial Institutions Examination Council Examination Procedures on customer Due Diligence and Beneficial Ownership Rule
SR 16-13 Imposition of Special Measures by the U.S. Department of the Treasury's Financial Crimes Enforcement Network (FinCEN)
SR 16-07 Interagency Guidance to Issuing Banks on Applying Customer Identification Program Requirements to Holders of Prepaid Access Cards
SR 15-12 Spanish Translation of the 2014 Federal Financial Institutions Examination Counci's Bank Secrecy Act/Anti-Money Laundering Examination Manual
SR 15-05 / CA 15-02 Guidance to Encourage Financial Institutions' Youth Savings Programs and Address Related Frequently Asked Questions
SR 14-10 Release of the 2014 Federal Financial Institutions Examination Council's Bank Secrecy Act/Anti-Money Laundering Examination Manual
SR 13-19 / CA 13-21 Guidance on Managing Outsourcing Risk
SR 11-06 Guidance on Accepting Accounts from Foreign Embassies, Consulates and Missions (foreign missions)
SR 11-04 Interagency Statement on Reorganization of FinCEN's Bank Secrecy Act Regulations
SR 10-8 Suspicious Activity Reporting Filing Requirements for Banking Organizations Supervised by the Federal Reserve
SR 09-9 Interagency Guidance on Transparency and Compliance in Cross-Border Funds Transfers
SR 09-02 Risk Management of Remote Deposit Capture
SR 7-10 Interagency BSA/AML Enforcement Policy Statement
SR 06-07 Amendments to Regulation K to Include Bank Secrecy Act Compliance Program Requirement
SR 06-01 Interagency Guidance on Sharing Suspicious Activity Reports with Head Offices and Controlling Companies
SR 05-09 Frequently Asked Questions Relating to Customer Identification Program Rules
SR 05-08 Interagency Interpretative Guidance on the Provision of Banking Services to Money Services Businesses Operating in the United States
SR 05-07 Account Relationships with Money Services Businesses
SR 04-10 Banking Accounts for Foreign Governments, Embassies, and Political Figures
SR 04-08 Interagency Advisory Concerning the Legal Protections Associated with the Filing of Suspicious Activity Reports
SR 03-20 Suspicious Activity Reports and Enforcement Actions against Individuals
SR 02-08 Implementation of Section 327 of the USA Patriot Act in the Applications Process
SR-01-03 (SUP) Guidance on Enhanced Scrutiny for Transactions That May Involve the Proceeds of Foreign Official Corruption
SR 96-36 (SUP.IB) Guidance on Evaluating Activities Under the Responsibility of U.S. Branches, Agencies and Nonbank Subsidiaries of Foreign Banking Organizations (FBOs)
Federal Deposit Insurance Corporation
Document Number Document Title
BSA Chapter from DSC Manual of Examination Policies
FIL-26-2018 Customer Due Diligence and Beneficial Ownership Examination Procedures
FIL-21-2016 Bank Secrecy Act Interagency Guidance to Issuing Banks on Applying Customer Identification Program Requirements to Holders of Prepaid Cards
FIL-47-2015 Bank Secrecy Act Spanish Translation of the 2014 Bank Secrecy Act/Anti-Money Laundering Examination Manual
FIL-5-2015 Statement on Providing Banking Services
FIL-60-2014 Bank Secrecy Act - Revised Bank Secrecy Act/Anti-Money Laundering Examination Manual
FIL-41-2014 FDIC Clarifying Supervisory Approach to Institutions Establishing Account Relationships with Third-Party Payment Processors
FIL-47-2012 Regulatory Relief Meeting the Financial Needs of Customers Affected by Hurricane Sandy and its Aftermath
FIL-17-2011 Bank Secrecy Act Guidance on Accepting Accounts from Foreign Embassies, Consulates, and Missions
FIL-15-2011 Reorganization of FinCEN's Bank Secrecy Act Regulations
FIL-08-2010 Interagency Guidance on Beneficial Ownership
FIL-72-2009 Interagency Guidance on Transparency for U.S. Banking Organizations Conducting Cross-Border Funds Transfers
FIL-63-2008 Suspicious Activity Reporting on Proceeds of Foreign Corruption
FIL-38-2008 Bank Secrecy Act – Provision for Independent Testing for BSA/AML Compliance
FIL-113-2007 USA Patriot Act Final Regulation Implementing Sec. 312 - Special Due Diligence Programs for Certain Foreign Accts
FIL-71-2007 Bank Secrecy Act Interagency Statement on Enforcement of Bank Secrecy Act/Anti-Money Laundering Requirements
FIL-55-2007 Bank Secrecy Act Requests By Law enforcement to Keep Accounts Open
FIL-54-2007 Bank Secrecy Act Suspicious Activity Report Supporting Documentation
FIL-49-2007 Bank Secrecy Act Delayed Implementation of Revised Suspicious Activity Report by Depository Institutions Form
FIL-41-2007 Bank Secrecy Act 2007 National Money Laundering Strategy
FIL-37-2007 Bank Secrecy Act Wolfsberg Group, Clearing House Joint Statement on Payment Message Standards
FIL-40-2006 Bank Secrecy Act Increasing Trend of Smuggling Currency from the U.S. into Mexico
FIL-20-2006 Registration and De-registration of Money Services Businesses
FIL-8-2006 U.S. Money Laundering Threat Assessment
FIL-5-2006 Sharing Suspicious Activity Reports With Controlling Companies
FIL-128-2005 USA PATRIOT Act: Final Regulation Implementing Section 312 of USA PATRIOT Act
FIL-91-2005 Hurricane Katrina: Frequently Asked Questions Regarding the Bank Secrecy Act
FIL-34-2005 New Anti-Money Laundering Guidance on Customer Identification Programs
FIL-121-2004 Guidance on Developing an Effective Computer Software Evaluation Program to Assure Quality and Regulatory Compliance
FIL-97-2004 FinCEN Issues Bulletin on Section 314(a) Information Request Process
FIL-72-2004 Joint Guidance on Accepting Accounts From Foreign Governments, Foreign Embassies and Foreign Political Figures
FIL-42-2003 Final Rule on Customer Identification Programs
FIL-136-2002 Final Rule Implementing Sections of the USA PATRIOT Act That Address Correspondent Accounts for Foreign Shell Banks
FIL-82-2002 Amended Statement of Policy on Bank Merger Act Transactions - "Anti-Money Laundering Record"
FIL-59-2002 Guidance for Financial Institutions in Detecting Terrorist Financing
FIL-6-2001 CEO Guidance on Enhanced Scrutiny for Transactions That May Involve the Proceeds of Foreign Official Corruption
FIL-36-1998 "Safe Harbor" and Filing of Suspicious Activity Reports
Financial Crimes Enforcement Network
National Credit Union Administration
Document Number Document Title
Request Letter — Full Version
Request Letter — Limited Version
Examiner’s Guide
AIRES Bank Secrecy Act Questionnaire
Consumer Compliance Self-Assessment Guide: Bank Secrecy Act
NCUA Rules and Regulations, Section 748.2, Procedures for monitoring Bank Secrecy Act (BSA) compliance
Interagency Statement on Enforcement of Bank Secrecy Act/Anti-Money Laundering Requirements
18-CU-02 Examination Guidance for Bank Secrecy Act Customer Due Diligence and Beneficial Ownership Compliance, Supervisory Letter – Bank Secrecy Act Customer Due Diligence and Beneficial Ownership Rules (Enclosure), BSA – Questionnaire (Enclosure), Customer Due Diligence and Exam Procedures – Overview (Enclosure), and Beneficial Ownership Requirement for Legal Entity Customer – Overview (Enclosure)
14-CU-10 Identifying and Mitigating Risks of Money Services Businesses and Supervisory Letter 14-05, Money Services Businesses (Enclosure)
10-RA-09 Guidance on Filing Suspicious Activity Reports Regarding Home Equity Conversion Mortgage Fraud Schemes
10-RA-06 Exception for Customer Identification Program (CIP) requirements to protect victims of domestic abuse
10-RA-05 Interagency Guidance on Obtaining and Retaining Beneficial Ownership Information and Guidance on Obtaining and Retaining Beneficial Ownership Information (Enclosure)
10-RA-03 Interagency Guidance on Conducting Cross-Border Funds Transfers and Transparency and Compliance for U.S. Banking Organizations Conducting Cross-Border Funds Transfers (Enclosure)
09-RA-16 Guidance on Determining Eligibility for Exemption from Currency Transaction Reporting Requirements
09-RA-15 Issue 16 of the SAR Activity Review - Trends, Tips & Issues, October 2009
09-RA-05 Guidance on Filing Suspicious Activity Reports Regarding Loan Modification/Foreclosure Reescue Scams
09-RA-04 Currency Transaction Reporting (CTR) Requirement Educational Pamphlet
09-CU-08 Filing Trends in Mortgage Loan Fraud
08-RA-11 Bank Secrecy Act Amendments – Exemptions from The Requirement to Report Transactions in Currency
08-RA-09 Bank Secrecy Act Electronic Filing System Batch Validation Implementation
08-RA-07 The SAR Activity Review – Trends, Tips & Issues, Issue 14, October 2008
08-RA-05 Retirement of FinCEN BSA Magnetic Media Filing Program
08-RA-03 Guidance on Filing Suspicious Activity Reports Regarding the Proceeds of Foreign Corruption
08-CU-12 Suspected Money Laundering in the Residential Real Estate Industry Report
08-CU-10 Mortgage Loan Fraud Report
08-CU-03 Reporting of Currency Transactions for Sole Proprietorships and Legal Entities Operating Under a "Doing Business As" Name
07-RA-09 Suspicious Activity Reporting Common Errors
07-RA-07 Revised Bank Secrecy Act/Anti-Money Laundering Examination Manual
07-RA-05 Suspicious Activity Report Documentation and Requests by Law Enforcement to Maintain Accounts
07-RA-04 The SAR Activity Review - Trends, Tips and Issues, Issue 11, May 2007
07-RA-03 Suspicious Activity Report Depository Institution Form
06-RA-07 Final Rule: Part 748, Filing Requirements for Suspicious Activity Reports and 12 CFR Part 748 (Enclosure)
06-RA-01 Guidance for Filing Suspicious Activity Reports (SARs) for Hurricane-Related Benefit Fraud and FINCEN Alert FIN-2006-A001, Guidance To Financial Institutions Regarding Hurricane-Related Benefit Fraud (Enclosure)
05-RA-06 The Bank Secrecy Act and Hurricane Katrina Victims and FAQs Regarding the Bank Secrecy Act and Hurricane Katrina Victims (Enclosure)
05-RA-05 USA PATRIOT Act Section 326: FAQs for Customer Identification Program (CIP) and FAQs: Final CIP Rule (Enclosure)
05-RA-04 Web-based 314(a) Secure Communication Systems)
05-RA-02 Suspicious Activity Reports on OFAC blocked transactions
05-CU-16 Bank Secrecy Act Compliance and AIRES BSA Questionnaire (Enclosure)
05-CU-09 Bank Secrecy Act Compliance and Frequently Asked Questions and Answers (Enclosure)
04-RA-06 Currency Transaction Report Form, CTR Form (Enclosure), and FinCEN Press Release (Enclosure)
04-RA-04 USA PATRIOT Act Section 326: FAQs for Customer Identification Program (CIP) and FAQs: Final CIP Rule (Enclosure)
04-RA-01 The Suspicious Activity Report (SAR) Activity Review - Trends, Tips & Issues, Issue 6, November 2003
04-CU-03 Suspicious Activity Reports and SAR Form (Enclosure)
Office of Foreign Assets Control
Office of the Comptroller of the Currency
Document Number Document Title
  Joint Fact Sheet on Foreign Correspondent Banking: Approach to BSA/AML and OFAC Sanctions Supervision and Enforcement
  Quality of Risk Management Matrix
  BSA/AML Request Letter Cover and Enclosure
Bulletin 2018-12 Bank Secrecy Act/Anti-Money Laundering: Customer Due Diligence and Beneficial Ownership Requirements for Legal Entity Customers – Overviews and Examination Procedures
Bulletin 2016-32 Risk Management Guidance on Periodic Risk Reevaluation of Foreign Correspondent Banking
Bulletin 2014-58 Statement on Risk Management
Bulletin 2010-28 Regulations Imposing Restrictions on Mexican Banks for Transactions in U.S. Currency
Bulletin 2010-11 BSA/AML Beneficial Ownership Guidance (interagency)
Bulletin 2009-36 BSA/AML Covered Payments Guidance (interagency)
Bulletin 2009-12 Bank Secrecy Act/Anti-Money Laundering - Interagency Guidance on Filing Suspicious Activity Reports on Loan Modification/Foreclosure Rescue Scams
Bulletin 2009-5 Bank Secrecy Act/Anti-Money Laundering - Final Rule: Currency Transaction Reporting Exemptions
Bulletin 2009-4 Interagency Guidance: Managing Risks of Remote Deposit Capture
Bulletin 2008-15 Bank Secrecy Act/Anti-Money Laundering: Guidance to Financial Institutions on the Money Laundering Threat Involving the Republic of Uzbekistan
Bulletin 2008-14 Bank Secrecy Act/Anti-Money Laundering: Guidance to Financial Institutions on the Money Laundering Threat Involving the Turkish Cypriot-Administered Area of Cyprus
Bulletin 2008-13 Bank Secrecy Act/Anti-Money Laundering: Guidance to Financial Institutions on the Continuing Money Laundering Threat Involving Illicit Iranian Activity
Bulletin 2008-12 Payment Processors: Risk Management Payment Processors: Risk Management Guidance
Bulletin 2007-37 Bank Secrecy Act/Anti-Money Laundering: Requests by Law Enforcement for Financial Institutions to Maintain Accounts
Bulletin 2007-36 Bank Secrecy Act/Anti-Money Laundering: BSA Enforcement Policy
Bulletin 2007-35 Bank Secrecy Act/Anti-Money Laundering: 2007 National Money Laundering Strategy
Bulletin 2007-34 Bank Secrecy/Anti-Money Laundering: Suspicious Activity Report (SAR) Supporting Documentation
Bulletin 2007-33 Bank Secrecy Act/Anti-Money Laundering: FinCEN; Final Rule for Section 312 of the USA PATRIOT Act; Enhanced Due Diligence for Correspondent Accounts Maintained by Certain Foreign Banks
Bulletin 2007-29 Bank Secrecy Act/Anti-Money Laundering: Notification on the Release of the Revised BSA/AML Manual
Bulletin 2007-17 Bank Secrecy Act/Anti-Money Laundering: Notification of Delay in the Implementation of Revised Suspicious Activity Report by Deposit Institutions (SAR-DI)
Bulletin 2007-15 Bank Secrecy Act/Anti-Money Laundering: Final Rule: Imposition of Special Measures Against Banco Delta Asia, Including Its Subsidiaries Delta Asia Credit Limited and Delta Asia Insurance Limited, as a Financial Institution of Primary Money Laundering Concern
Bulletin 2007-12 Bank Secrecy Act/Anti-Money Laundering: Notification of Revised Suspicious Activity Report by Depository Institutions (SAR-DI)
Bulletin 2006-39 Automated Clearing House Activities: Risk Management Guidance
Bulletin 2006-30 FinCEN Guidance to Financial Institutions on the Repatriation of Currency Smuggled into Mexico from the United States
Bulletin 2006-23 FinCEN Guidance to Financial Institutions on Providing Financial Services to Belarusian Senior Regime Elements
Bulletin 2006-19 Final Rule:  Imposition of Special Measures Against the Commercial Bank of Syria including its subsidiary, the Syrian Lebanese Commercial Bank as a Financial Institution of Primary Money Laundering Concern
Bulletin 2006-11 OFAC–Economic Sanctions Enforcement Procedures for Banking Institutions
Bulletin 2006-10 FinCEN; Final Rule and Proposed Rule for Special Due Diligence Programs for Certain Foreign Accounts
Bulletin 2006-8 U.S. Money Laundering Threat Assessment
Bulletin 2006-4 Joint Statement on Sharing Suspicious Activity Reports with Controlling Companies
Bulletin 2006-3 Advisory warns financial institutions of North Korean front companies: FinCEN guidance
Bulletin 2005-45 Process for Taking Administrative Enforcement Actions Against Banks Based on BSA Violations
Bulletin 2005-35 Authentication in an Internet Banking Environment
Bulletin 2005-24 Threats from Fraudulent Bank Web Sites: Risk Mitigation and Response Guidance for Web Site Spoofing Incidents
Bulletin 2005-19 Interagency Interpretive Guidance on Providing Banking Services to Money Services Businesses Operating in the United States
Bulletin 2005-16 Bank Secrecy Act/Anti-Money Laundering – Frequently Asked Questions (updated): Final Customer Identification Program Rule
Bulletin 2005-15 Bank Secrecy Act/Anti-Money Laundering – Joint Statement on Providing Banking Services to Money Services Businesses
Bulletin 2005-13 Response Programs for Unauthorized Access to Customer Information and Customer Notice: Final Guidance
Bulletin 2004-51 Bank Supervisions Operations: Enforcement Action Policy
Bulletin 2004-26 Certain Foreign Accounts – Interagency Advisory: Guidance on Accepting Accounts from Foreign Governments, Foreign Embassies and Foreign Political Figures
Bulletin 2004-24 Suspicious Activity Reporting – Interagency Advisory: Federal Court Reaffirms Protections for Financial Institutions Filing Suspicious Activity Reports
Bulletin 2004-18 Bank Secrecy Act/Anti-Money Laundering – Final Rules: Imposition of Special Measures Against Burma, Myanmar Mayflower Bank, and Asia Wealth Bank
Bulletin 2004-3 Bank Secrecy Act/Anti-Money Laundering – FAQ’s: Final Customer Identification Program Rule
Bulletin 2003-27 Suspicious Activity Report – revised form and guidance on terrorist financing and identity theft.
Bulletin 2003-22 Bank Secrecy Act/Anti-Money Laundering – Final Rule: Customer Identification Programs for Banks, Savings Associations, and Credit Unions
Bulletin 2003-10 Office of Foreign Assets Control - Final Rules Governing Availability of Information
Bulletin 2003-3 Bank Secrecy Act/Anti-Money Laundering – Final Rule: Anti-Money Laundering Requirements for Foreign Correspondent Banks
Bulletin 2002-42 Bank Secrecy Act/Anti-Money Laundering – Final Rule: Special Information Sharing Procedures to Deter Money Laundering and Terrorist Activity
Bulletin 2002-41 Bank Secrecy Act/Anti-Money Laundering – Final Rule: Anti-Money Laundering Requirements for Foreign Correspondent Banks
Bulletin 2002-37 Bank Secrecy Act/Anti-Money Laundering – Interim Final Rule: Special Due Diligence Programs for Certain Foreign Accounts
Bulletin 2001-7 Anti-Money Laundering Guidance – Basel Committee Consultative Paper
Alert 2004-1 FinCEN 314(a) Contact Information on the Call Report
Alert 2002-8 FinCEN Patriot Act Communication System (PACS)