You can find financial institutions in Appendix D
of the BSA Exam Manual.
The list includes:
A broker or dealer in securities or commodities.
An investment banker or investment company.
The Professional Service Provider
section of the exam manual provides a description and examples:
A professional service provider acts as an intermediary between its client and the bank. Professional service providers include lawyers, accountants, investment brokers
, and other third parties that act as financial liaisons for their clients. These providers may conduct financial dealings for their clients. For example, an attorney may perform services for a client, or arrange for services to be performed on the client’s behalf, such as settlement of real estate transactions, asset transfers, management of client monies, investment services, and trust arrangements.
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