您所在位置： &
&nbsp&&nbsp&nbsp&&nbsp
b a n k s e c r e c y a c t a n t i- m o n e y l a u n d e r i n g e x a m i n a t i o n m a n u a l（b n k s e c r e n c y c t t - m o n e y l u n d e r i n g e x m i n t i o n m n u l）（46页）.doc 46页
本文档一共被下载：
次 ,您可全文免费在线阅读后下载本文档。
下载提示
1.本站不保证该用户上传的文档完整性，不预览、不比对内容而直接下载产生的反悔问题本站不予受理。
2.该文档所得收入(下载+内容+预览三)归上传者、原创者。
3.登录后可充值，立即自动返金币，充值渠道很便利
需要金币：160 &&
你可能关注的文档：
··········
··········
BANK SECRECY ACT/ANTI-MONEY LAUNDERING EXAMINATION MANUAL
Core Examination Procedures – Scoping and Planning
Identify the bank’s BSA/AML risks and develop the examination scope and plan.
This examination process includes determining examination staffing needs, including technical expertise, and selecting examination procedures to be completed.
PROCEDURES
To accomplish the goals of the BSA/AML examination, the examiner must determine the BSA/AML risk profile of the bank, as a part of the scoping and planning process.
Whenever possible, the scoping and planning process should be completed before entering the bank.
The scoping and planning process generally begins with an analysis of off-site monitoring information, prior examination reports and workpapers, request letter items completed by bank management, the bank’s BSA/AML risk assessment, BSA-reporting databases, and independent reviews or audits.
At a minimum, examiners should perform the procedures included in the following sections of this manual to ensure that the bank has an adequate BSA/AML compliance program commensurate with its risk profile:
Scoping and Planning (refer to pages 170 to 173).
BSA/AML Compliance Program (refer to pages 174 to 178).
Developing Conclusions and Finalizing the Examination (refer to pages 210 to 213).
The core section also includes an overview and procedures for examining a bank’s policies, procedures, and processes for ensuring compliance with OFAC sanctions.
The examiner should review the bank’s OFAC risk assessment and audit to determine the extent to which a review of the bank’s OFAC program should be conducted during the examination.
Refer to “Office of Foreign Assets Control” procedures pages 207 to 209.
To facilitate the examiner’s understanding of the bank’s risk profile and to adequately establish the scope of the BSA/AML examination, the examiner should complete the following steps:
Review prior examination or inspection reports,
正在加载中，请稍后...S O N G H O L Y H A L L - Scott Henderson - 单曲 - 网易云音乐
S O N G H O L Y H A L L
所属专辑：
网易云音乐多端下载
同步歌单，随时畅听320k好音乐
网易公司版权所有(C)杭州乐读科技有限公司运营：H O L L A N D Y A C H T I N G - international yachtbrokers
Please select your language推荐这篇日记的豆列
&&&&&&&&&&&&}