Does anyone use a checklist for reviewing subpoenas that you are recieving, and if so would you be willing to share? Or are you just reviewing the supbpoena, account activity, and then determining if anything suspicious is taking place?

bump.

I don't use a checklist. I do have a subpoena policy approved by the Board. If we get a subpoena, I review it, look at the date when information is due back and send to our attorney to review to make sure it is legally issued. With the attorney's okay we begin collecting the information requested if there is any. If none, then I send a letter to the person requesting the information. I do review the transactions for suspicious activity and if found, we file a SAR. Most of our subpoenas are for divorce cases, IRS, partnership disputes and on occasion, law enforcement. Many times, when it's law enforcement subpoenas, we have already filed a SAR. Filed SAR 4 years ago, subpoenaed records two years ago and now case is finally going to court. Justice can be slow.

Thanks for the respnse BuckDog, very helpful.