Description
We have taken a very complex issue and developed a common sense AML program that will accomplish what FenCENs intent is: to help prevent money laundering and fraud, while making your firm compliant. By utilizing the AML Check List we provide when beginning a new file, we have created a simple assessment to screen each and every new potential customer. The best part, we do all the work for you by providing your firm with a customized compliance and supervisory procedures written policy.
YOU WILL RECEIVE THE FOLLOWING…
Compliance and Supervisory Procedures Policy:
- Firms Policy and mission statement
- Giving AML Information to Federal Law Enforcement Agencies and Other Financial Institutions
- Checking the Office of Foreign Assets Control Listings
- Customer Identification Program
- General Customer Due Diligence Risk Check List
- Due Diligence Private Banking Accounts/Foreign Political Figures
- Compliance with FinCEN’s Special Measures against Foreign Jurisdictions
- Monitoring Accounts for Suspicious Activity
- Suspicious Transactions and BSA Reporting
- AML Recordkeeping
- Training Programs
- Program to Independently Test AML Program
- Monitoring Employee Conduct and Accounts
- Confidential Reporting of AML Non-Compliance
- Additional Risk Areas
- AML Reporting Overview
- Copy of a SARs Report
- Links to Government Sites
- AML Checklist – Customer Risk Assessment
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