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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 the following information:

  • BSA Forms — Links to BSA reporting forms, and instructions for magnetic and electronic filing.
  • SAR Activity Reviews – Trends, Tips & Issues and By the Numbers — Meaningful information about the preparation, use, and value of Suspicious Activity Reports (SARs) filed by financial institutions.
  • BSA Guidance — Frequently Asked Questions, FinCEN rulings, guidance on preparing a complete and accurate SAR narrative, and country advisories.
  • Reports — Links to FinCEN Reports to Congress, the U.S. Treasury’s National Money Laundering Strategy, and the U.S. State Department’s International Narcotics Control Strategy Report.
  • Federal Register notices.
  • Enforcement actions.

Basel Committee on Banking Supervision (BCBS)

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

  • Consolidated Know Your Customer Risk Management
  • Initiatives by the BCBS, International Association of Insurance Supervisors (IAIS) and International Organization of Securities Commissions (IOSCO) to Combat Money Laundering and the Financing of Terrorism
  • Sharing of Financial Records Between Jurisdictions in Connection with the Fight Against Terrorist Financing
  • 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
  • Non-Cooperative 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

New York Clearing House Association, LLC (NYCH)

The NYCH’s web site (www.theclearinghouse.org) includes this publication:

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

National Automated Clearing House Association — 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

 

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