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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BSA/AML Customer Identification Program (CIP)

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BSA/AML Monitoring and Filtering (NYDFS 23 NYCRR 504)

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BSA/AML Information Sharing

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BSA/AML Office of Foreign Assets Control (OFAC)


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