Anti-Money Laundering and Sanctions
BSA/AML Monitoring and Filtering (NYCRR 504)
This series of Anti-Money Laundering and Sanctions Playbooks is based on the Federal Financial Institutions Examination Council (FFIEC) Bank Secrecy Act (BSA)/Anti-Money Laundering (AML) Examination Manual that provides guidance to examiners for carrying out BSA/AML, the Office of Foreign Assets Control (OFAC) examinations and the New York Department of Financial Services (NYDFS). The Playbooks incorporate the FFIEC manual guidance on identifying and controlling risks associated with money laundering and terrorist financing.
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What is the BSA/AML Monitoring and Filtering (NYCRR 504) Playbook?
The BSA/AML Monitoring and Filtering (NYDFS 23 NYCRR 504) Playbook addresses the following areas:
- Transaction Monitoring Program Requirements
- Transaction Filtering Program Requirements
- Transaction Monitoring and Filtering Program
- Remediation
- Annual Board Resolution or Senior Officer(s) Compliance Finding, and
- Information Sharing – USA PATRIOT Act Section 314
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You Also Get
Policy Document Template
These templates are designed to be a starting point for your clients, which can be tailored for your client's specific organizational needs.
Overview Flow Charts
A diagrammatic representation of the flow of assessment activities within your playbook.
Instructions
Our instructions for use. These are the same for all our playbooks, once you know how to use one, you can use them all.
Tutorial
A PowerPoint tutorial on the specific playbook, covering the most important aspects of this area of assessment.
