Latest Security - USA PATRIOT Act Topics

USA PATRIOT ACT Policy/Procedures

11/22/2015

I attended Ken​ Golliher​'s seminar yesterday in Tulsa, it was very informative. I understood him to say that even if we don't do international transactions at this time, that he would still advise us to​ address Section 311 ​(Special Measures) ​ of the US​A​ PATRIOT Act in our policy/procedures. ​I was hoping someone could weigh in on this for me.

Identifying and Reporting Suspicious Transactions for Introducing and Clearing Broker-Dealers

02/21/2013

Training Materials for USA Patriot Act

08/22/2011

I'm new to BankersOnline.com and also to compliance. I am trying to find some training materials relating to the USA Patriot Act that I could potentially use as a model for staff training at our bank. Can you point me in the right direction?

Differences Between OFAC Lists and Section 314(a) Lists

09/13/2010

International Wires - Checking 311 Entities

10/05/2009

Are banks required to check the entities listed in section 311 of the USA Patriot Act every time an international wire is sent or received, and is this part of the FFIEC Examination Manual?

Update: Auditing the AML Program? What?s New?

10/01/2009

Suspicious Activity Reports in the Securities Industry: How to File a SAR, How SARs are Used, and the Consequences for Failure to File

05/01/2009

The Amish & Non-Interest Bearing Accounts

09/29/2008

Acknowledging the existing CIP (BSA Manual-8/2007) rules, there appears room within the regulations to enroll Amish families into non-interest bearing accounts with an IRS tax waiver (Form 4029) as long as other forms of positive identity are provided such as birth certificate, marriage license, a tax/property deed or baptism papers. I’m looking for verification in this matter.

Identifying and tracking account risk is part of the Red Flag program, do you know what these requirements include?

09/22/2008

USA PATRIOT Act & CIP - Minor Identification

09/01/2008

What is the best way to identify a minor and still comply with the USA PATRIOT Act and CIP? We currently do not accept birth certificates and most times the only ID the minor child has is a social security card. Is that enough?