BSA Compliance Series:
BSA Compliance Hotspots: Regulators, Litigation, Policies & Procedures

Tuesday, April 25, 2017

12:00 pm – 1:30 pm PT
1:00 pm – 2:30 pm MT
2:00 pm – 3:30 pm CT
3:00 pm – 4:30 pm ET

Bank Secrecy Act (BSA/AML) issues are some of the most challenging facing the financial industry. The expectations for mitigating AML risk keep changing, because money launderers continually alter their techniques. Where are the highest risks for money laundering and how should they be monitored? What do examiners expect and what issues have they cited recently? Do you know about recent litigation and legal risk? Join us to learn the answers to these questions and more, plus receive a checklist to ensure you have current, comprehensive BSA policies and procedures.

Continuing Education: Attendance verification for CE credits upon request


  • List of monitoring reports and what can be learned from each
  • SAR advisory key terms – information from FinCEN regarding the types of activities to monitor
    (e.g., e-mail compromise, human trafficking, funnel accounts, etc.)
  • Dealing with accountholders who are marijuana dispensaries – procedures, monitoring, and reporting
  • OFAC
    • Weak processes identified by examiners
    • Monitoring procedures and samples
  • Learning from others’ mistakes – recent BSA/AML penalties and what went wrong

    • Sample procedure outline for doing business with marijuana dispensaries
    • BSA policy/procedure checklist to ensure yours is complete and up to date
    • Employee training log
    • Quiz you can administer to measure staff learning and a separate answer key

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This informative session is designed for BSA/AML officers, assistant BSA/AML officers, compliance officers, and auditors.

PLEASE NOTE: Webinar content is subject to copyright and intended for your individual financial institution’s use only.