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#2236137 - 05/04/20 10:21 PM Exempt designation in e-filing system
Web Offline
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Joined: May 2005
Posts: 316
Is there a way in the e-filing system to see the customer's that I have submitted a DOEP filing for that I can reference?

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BSA/AML/CIP/OFAC Forum
#2236149 - 05/05/20 11:58 AM Re: Exempt designation in e-filing system Web
Adam Witmer Offline
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Joined: Sep 2010
Posts: 2,658
I don't believe there is an option to see that info in the e-filing system.

From FinCEN's FAQs:
Question 2(c): Does FinCEN provide depository institutions with a confirmation of receipt of the Designation of Exempt Person form (FinCEN 110)?
Answer 2(c): Designation of Exempt Person form (FinCEN 110) is filed electronically with FinCEN through the BSA E-Filing system. The filing institution is provided an acknowledgement that the report has been received. (12/2017)
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Adam Witmer, CRCM

All statements are my opinion, not those of my employer, and should not be taken as legal advice.
www.compliancecohort.com

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#2236151 - 05/05/20 12:56 PM Re: Exempt designation in e-filing system Web
rlcarey Offline
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rlcarey
Joined: Jul 2001
Posts: 83,364
Galveston, TX
In the past, your EIC could assist in getting a list or you can ask FinCEN directly. I had clients do that in the past, but it has been a few years.
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The opinions expressed here should not be construed to be those of my employer: PPDocs.com

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#2236165 - 05/05/20 01:57 PM Re: Exempt designation in e-filing system Web
Web Offline
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Joined: May 2005
Posts: 316
Thank you!

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