3 SEMINARS IN 2 DAYS!

COVID COMPLIANCE:

• Covid-19 Requirements & Updates & Best Practices
• Closure documentation for Covid-19 compliance (Per FinCEN prior to a Covid shut down)
• How to make corrections IF you neglected the guidance.
• Re-opening and setting your inactive benchmark
• BSA/AML Best Practices during the pandemic
• The FinCEN advisories for Covid-19 and how to apply them to your compliance.
• CDD Best Practices for BSA/AML in a Covid environment (Policies & Procedures AND Controls).

BSA/AML/CTF YOU NEED TO KNOW:  

• OFAC Update and current Best Practices
• Components & Compliance of the BSA/AML/CTF covered in
• 31 U.S.C. 5311-5314e         
• 5316-5330 - 5331 - 5332e
• 12 U.S.C. 1829b (Record Retention as it applies to Financial Institutions)
• U.S.C. 1951-1959e (Financial Record Keeping)
• Federal Crime of Money Laundering - Title 18, U.S. Code, Crimes and Criminal Procedure
• Federal Crime of Operating an Unlicensed or Unregistered Money Transmitting Business - Title 18  U.S. Code, Crimes and Criminal Procedure
• Public Law 107-56 & How it applies
• KYC/EDD/CDD Requirements and Compliance
• Sports Betting & CDD (3PBFO)
• Marijuana Businesses & CDD/EDD
• 5 U.S.C. §552 FOIA (Specifically §552a. Records maintained on individuals –Privacy Act)
• 31cfr501 – Office of Foreign Asset Control (OFAC) (PEP, SDN etc.)
• DOEP ABaRR Compliance
• Part 4 → Chapter 26 → Section 6 of the IRS Examiners Manual
• Part 4 → Chapter 26 → Section 9 of the IRS Examiners Manual
• FFIEC BSA/AML Examination Manual for Financial Institutions
• 31 CFR Chapter X (Effective after March 1, 2011) (Title 31x)
• 31 CFR Part 103 (Effective through February 28, 2011)
• FATF 40 & 9 and Sanctions
• The IRS/FinCEN Audit & Follow-Up
• The BSA/AML Risk Assessment & Independent Review
• How to achieve full compliance (Manually!)
• Achieving Audit Success in an IRS, State or Bank Audit

 2020 EXAMINERS MANUAL DRILL DOWN:

• April 2020 Examiners Manuals & Appendices
• 2017 Examiners Manuals
• OFAC Risk Matrices
• Risk Assessment Table & Report Sample
• Sample LOE

SEMINAR INCLUDES:

• Seminar Manual
• Option to Download or Replay Video of Seminar
• Attendance Certification
• All Source Documents