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Bank Secrecy Act
Anti-Money Laundering
Examination Manual

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APPENDIX C: BSA/AML REFERENCES

Web Sites

Manuals or Handbooks

Other Materials

Federal Financial Institutions Examination Council (FFIEC)

The FFIEC’s Web site (www.ffiec.gov) includes the following information:

U.S. Government

Interagency U.S. Money Laundering Threat Assessment (MLTA) (December 2005)

The MLTA is a government-wide analysis of money laundering in the United States. The MLTA offers a detailed analysis of money laundering methods, ranging from well-established techniques for integrating dirty money into the financial system to modern innovations that exploit global payment networks as well as the Internet. (www.treas.gov/press/releases/reports/js3077_01112005_MLTA.pdf)

Financial Crimes Enforcement Network (FinCEN)

FinCEN’s Web site (www.fincen.gov) includes, among a range of other material and information, the following:

  • BSA Statutory Material, BSA Regulations, and Federal Register Notices — Links to legislation and regulations, as well as to proposed regulations.
  • BSA Forms — Links to BSA reporting forms and corresponding preparation and filing instructions.
  • BSA Guidance — FinCEN issues interpretations of BSA regulations as well as guidance to financial institutions on complying with the same.
  • Reports — FinCEN periodically initiates and develops reports and publications covering AML issues, including the SAR Activity Review.
  • Advisories — FinCEN issues advisories to financial institutions concerning money laundering or terrorist financing threats and vulnerabilities, for the purpose of enabling financial institutions to guard against such threats.
  • Enforcement actions — FinCEN issues releases involving the assessment of civil money penalties against financial institutions for systemic noncompliance with the BSA.

Basel Committee on Banking Supervision (BCBS)

The BCBS Web site (on the Bank for International Settlements’ Web site, www.bis.org) includes the following publications:

  • Due Diligence and Transparency Regarding Cover Payment Messages Related to Cross-Border Wire Transfers
  • Consolidated Know Your Customer Risk Management
  • Sharing of Financial Records Between Jurisdictions in Connection with the Fight Against Terrorist Financing
  • General Guide to Account Opening and Customer Identification
  • Customer Due Diligence for Banks
  • Prevention of Criminal Use of the Banking System for the Purpose of Money-Laundering
  • Banking Secrecy and International Cooperation in Banking Supervision

Financial Action Task Force on Money Laundering (FATF)

FATF’s Web site (www.fatf-gafi.org) includes the following publications:

  • Forty Recommendations to Combat Money Laundering and Terrorism
  • Special Recommendations Against Terrorist Financing
  • Interpretive Notes to FATF Recommendations
  • Noncooperative Countries or Territories
  • Typologies on Money Laundering Risk
  • Trade Based Money Laundering
  • New Payment Methods
  • The Misuse of Corporate Vehicles, Including Trust and Company Service Providers
  • Complex Money Laundering Techniques — Regional Perspectives Report

The Clearing House Payments Co., LLC

The Clearing House’s Web site (www.theclearinghouse.org) includes this publication:

  • Guidelines for Counter Money Laundering Policies and Procedures in Correspondent Banking

NACHA — The Electronic Payments Association (NACHA)

NACHA’s Web site (www.nacha.org) includes the following:

  • "The Next Generation ACH Task Force: Future Vision of the ACH Network"
  • NACHA Operating Rules

The Wolfsberg Group

The Wolfsberg Group’s Web site (www.wolfsberg-principles.com) includes the following:

  • Wolfsberg AML Principles on Private Banking
  • Wolfsberg Statement on the Suppression of the Financing of Terrorism
  • Wolfsberg Statement on Payment Message Standards
  • Wolfsberg AML Principles for Correspondent Banking
  • Wolfsberg Statement on Monitoring, Screening, and Searching
  • Wolfsberg Guidance on Risk Based Approach for Managing Money Laundering Risks
  • Wolfsberg FAQs on Correspondent Banking
  • Wolfsberg Trade Finance Principles
  • Wolfsberg Statement on AML Screening, Monitoring and Searching 2009

 

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