BSA/AML Examination Manual InfoBase
The BSA/AML Examination Manual InfoBase provides guidance to examiners for carrying out Bank Secrecy Act/Anti-Money Laundering and Office of Foreign Assets Control (OFAC) examinations. An effective BSA/AML compliance program requires sound risk management; therefore, the manual also provides guidance on identifying and controlling risks associated with money laundering and terrorist financing. The manual contains an overview of BSA/AML compliance program requirements, BSA/AML risks and risk management expectations, industry sound practices, and examination procedures.
The Check 21 InfoBase was issued in October 2004 and is designed to provide resources to understand the compliance implications of the Check Clearing for the 21st Century Act (Check 21). The InfoBase contains a training presentation that provides a concise overview of the Act and its implementing regulation, an example of check processing under Check 21, information on consumer compliance and other requirements, and an explanation of the examination concepts for consumer compliance issues.
The Privacy of Financial Information CD was issued in July 2001 and contains a series of reference materials, regulations, examination procedures, and 12 narrated slide presentations on the GLBA Financial Privacy Regulations. The Interagency Compliance Examination Procedures documentation is provided in HTML format with a concurrent frame containing links to specific sections of the regulation relative to the examination procedure.
Information Technology Examination Handbook InfoBase
The Information Technology Examination Handbook InfoBase concept was developed by the Task Force on Examiner Education to provide field examiners in financial institution regulatory agencies with a quick source of introductory training and basic information. The long-term goal of the InfoBase is to provide just-in-time training for new regulations and for other topics of specific concern to examiners in FFIEC's five member agencies. The following IT topics are available via this InfoBase: Audit, Business Continuity Planning, Development and Acquisition, E-Banking, FedLine, Information Security, Management, Operations, Outsourcing Technology Services, Retail Payment Systems, Supervision of Technology Service Providers, Wholesale Payment Systems.
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Last Modified: 12/19/2007 9:19 AM